SEC Form 4/A · accession 0001392937-16-000009
Super Micro Computer, Inc. · SMCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Yih-Shyan Wally Liaw
Officer — Secretary & V P of Intl Sales
Period of report
Feb 26, 2016
Accepted (ET)
Aug 30, 2016 · 5:50 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 | Feb 26, 2016 | M | 20,000 | $7.46 | A | 20,000 | D | |
| Common StockF2 | Feb 26, 2016 | S | 20,000 | $32.1766 | D | 0 | D | |
| 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)F4 | $7.46 | Feb 26, 2016 | M | 20,000 | D | — | Apr 28, 2018 | Common Stock | 20,000 | 40,910 | D |
Explanation of responses
- F1The reported sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2015.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.96 to $32.65, inclusive. The reporting person undertakes to provide to Super Micro Computer, Inc., any security holder of Super Micro Computer, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.
- F3These shares are held in a trust for the benefit of the reporting person's children. The reporting person and his spouse, Shiow-Meei S. Liaw, are the trustees of the trust.
- F4The stock option is fully vested.