SEC Form 4 · accession 0001392942-16-000011
Super Micro Computer, Inc. · SMCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles Liang
Officer — President and CEO · Director · 10% Owner
Period of report
Jan 27, 2016
Accepted (ET)
Jan 29, 2016 · 7:05 pm EST
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 | — | — | — | 7,160,980 | D | ||
| Common Stock | holding | — | — | — | 495,620 | I | By Spouse | |
| Common Stock | holding | — | — | — | 15,000 | I | As Trustee for Green Earth Charitable Trust | |
| Common Stock | holding | — | — | — | 6,100 | I | By child D | |
| Common Stock | holding | — | — | — | 6,100 | 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 | $27.28 | Jan 27, 2016 | A | 9,000 | A | — | Jan 27, 2026 | Common Stock | 9,000 | 9,000 | I |
| Restricted Stock UnitsF2,F3 | — | Jan 27, 2016 | A | 4,050 | A | — | — | Common Stock | 4,050 | 4,050 | 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 25% of the total number of shares on December 12, 2016 and 1/48th of the total number of shares on each month 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 February 10, 2017 and 1/48th of the total number of units monthly thereafter. Vested units are settled in shares of SMCI common stock.