SEC Form 4/A · accession 0001392941-17-000015
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
Liang Chiu-Chu Sara Liu
Officer — VP of Operations & Treasurer · Director · 10% Owner
Period of report
Aug 2, 2017
Accepted (ET)
Aug 7, 2017 · 5:53 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 | — | — | — | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $26.95 | Aug 2, 2017 | A | 130,000 | A | — | Aug 2, 2027 | Common Stock | 130,000 | 130,000 | I |
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 12.5% of the total number of shares on August 2, 2017 and 1/48th of the total number of shares on each month thereafter.