SEC Form 4 · accession 0001392941-17-000011
Super Micro Computer, Inc. · SMCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Liang Chiu-Chu Sara Liu
Officer — VP of Operations & Treasurer · Director · 10% Owner
Period of report
May 10, 2017
Accepted (ET)
May 12, 2017 · 4:37 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 | May 10, 2017 | M | 253 | $0.00 | A | 471,441 | D | |
| Common Stock | May 10, 2017 | F | 111 | $24.15 | D | 471,330 | D | |
| Common Stock | holding | — | — | — | 7,144,795 | I | By Spouse | |
| Common Stock | holding | — | — | — | 15,000 | I | As Trustee for Green Earth Charitable Trust | |
| Common Stock | holding | — | — | — | 1,077 | I | By child A | |
| Common Stock | holding | — | — | — | 1,077 | I | By child B | |
| Common Stock | holding | — | — | — | 1,077 | I | By child C | |
| Common Stock | holding | — | — | — | 1,077 | I | By child D | |
| Common Stock | holding | — | — | — | 1,077 | I | By child E |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | May 10, 2017 | M | 253 | D | — | — | Common Stock | 253 | 2,785 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of SMCI common stock.
- F2Subject 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 February 10, 2017 and 1/16th of the total number of units at the end of each of the next twelve 3-month periods thereafter. Vested units are settled in shares of SMCI common stock.