SEC Form 4 · accession 0001392937-16-000006
Super Micro Computer, Inc. · SMCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Yih-Shyan Wally Liaw
Officer — Secretary & V P of Intl Sales · Director
Period of report
Apr 27, 2016
Accepted (ET)
Apr 29, 2016 · 1:31 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001375365
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 68,177 | I | By Spouse | |
| Common StockF3 | holding | — | — | — | 2,054,340 | I | By Liaw Family Trust | |
| Common Stock | holding | — | — | — | 9,918 | I | By Child A | |
| Common Stock | holding | — | — | — | 9,918 | I | By Child B |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $28.71 | Apr 27, 2016 | A | 8,500 | A | — | Apr 27, 2026 | Common Stock | 8,500 | 8,500 | D |
| Restricted Stock UnitsF2,F3 | — | Apr 27, 2016 | A | 3,830 | A | — | — | Common Stock | 3,830 | 3,830 | D |
Explanation of responses
- F1Subject to the Reporting Person's continued service to the Issuer, the option will vest and become exercisable at the rate of 25% of the total number of shares on March 29, 2017 and 1/16th of the total number of shares on each quarterly installment thereafter.
- F2Each restricted stock unit represents a contingent right to receive one share of SMCI common stock.
- F3Subject to the Reporting Person's continued service to the Issuer, the restricted stock units vest at the rate of 25% of the total number of units on May 10, 2017 and 1/16th of the total number of units on each quarterly installment thereafter. Vested units are settled in shares of SMCI common stock.