SEC Form 4 · accession 0001392943-17-000008
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
Nov 10, 2017
Accepted (ET)
Nov 14, 2017 · 7:36 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 | Nov 10, 2017 | M | 239 | $0.00 | A | 928 | D | |
| Common Stock | Nov 10, 2017 | F | 90 | $20.00 | D | 838 | D | |
| Common StockF1 | holding | — | — | — | 2,049,920 | I | By Liaw Family Trust | |
| Common Stock | holding | — | — | — | 12,128 | I | By Child A | |
| Common Stock | holding | — | — | — | 12,128 | I | By Child B | |
| Common Stock | holding | — | — | — | 48,177 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | Nov 10, 2017 | M | 239 | A | — | — | Common Stock | 239 | 2,395 | D |
Explanation of responses
- F1These 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.
- F2Each restricted stock unit represents a contingent right to receive one share of SMCI common stock.
- F3The restricted stock units vest in installments at the rate of 25% of the total number of units on May 10, 2017 and 1/16 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.