Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|
transaction | SMCI | Common Stock | Options Exercise | $5.85M | +1.67M | +2.5% | $3.51 | 68.3M | Oct 30, 2024 | By Spouse | F1 |
transaction | SMCI | Common Stock | Tax liability | -$30.7M | -928K | -1.36% | $33.07 | 67.4M | Oct 30, 2024 | By Spouse | F1, F2 |
holding | SMCI | Common Stock | 42.3K | Oct 30, 2024 | Direct | F1 |
Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
transaction | SMCI | Restricted Stock Units | Award | $0 | +6K | $0.00 | 6K | Oct 30, 2024 | Common Stock | 6K | Direct | F3, F4 | ||
transaction | SMCI | Employee Stock Option (right to buy) | Options Exercise | $0 | -1.67M | -100% | $0.00 | 0 | Oct 30, 2024 | Common Stock | 1.67M | $3.51 | By Spouse | F5, F6 |
Id | Content |
---|---|
F1 | Adjusted to reflect a ten-for-one forward split of the Issuer's common stock effective after market close on September 30, 2024. |
F2 | These transactions reflect the Reporting Person's spouse's exercise of a stock option granted in 2015 which expires soon. No shares were sold into (or otherwise entered) the public market, and the Reporting Person's spouse did not receive any cash proceeds from this transaction. Instead, the Company withheld shares to pay the exercise price and minimum withholding taxes required by law. All withheld shares were retained by the Company. Of the 1,667,500 shares subject to the option, the Reporting Person's spouse retained 739,470 shares after a total of 928,030 shares were withheld. |
F3 | Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. |
F4 | Subject to the Reporting Person's continued service to the Issuer, the restricted stock units vest 100% on October 30, 2025. Vested units are settled in shares of SMCI common stock. |
F5 | This option was previously reported as covering 10x fewer shares at a 10x greater exercise price, but was equitably adjusted in connection with the ten-for-one forward split. |
F6 | The stock option is fully vested and exercisable. |