SEC Form 4 · accession 0001450857-17-000008
Super Micro Computer, Inc. · SMCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cheng-Hsien Phidias Chou
Officer — VP Worldwide Sales
Period of report
May 10, 2017
Accepted (ET)
May 12, 2017 · 4:28 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 | 338 | $0.00 | A | 1,285 | D | |
| Common Stock | May 10, 2017 | F | 148 | $24.15 | D | 1,137 | D | |
| Common Stock | May 11, 2017 | M | 1,000 | $5.53 | A | 2,137 | D | |
| Common Stock | May 11, 2017 | S | 1,000 | $24.0749 | D | 1,137 | D |
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 | 338 | D | — | — | Common Stock | 338 | 3,375 | D |
| Stock Option (right to buy)F3 | $5.53 | May 11, 2017 | M | 1,000 | D | — | Apr 29, 2019 | Common Stock | 1,000 | 11,500 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of SMCI common stock.
- F2The restricted stock units vest in installments at the rate of 25% of the total number of units on November 10, 2016 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.
- F3The stock option is fully vested and exercisable.