SEC Form 4 · accession 0001758554-18-000006
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
Nov 10, 2018
Accepted (ET)
Nov 13, 2018 · 6:26 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 StockF1 | Aug 23, 2018 | G | 15,000 | $0.00 | D | 0 | I | As Trustee for Green Earth Charitable Trust |
| Common Stock | Nov 10, 2018 | M | 253 | $0.00 | A | 472,363 | I | By Spouse |
| Common Stock | Nov 10, 2018 | F | 88 | $12.14 | D | 472,275 | I | By Spouse |
| Common Stock | holding | — | — | — | 7,144,795 | D | ||
| 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 UnitsF2,F3 | — | Nov 10, 2018 | M | 253 | D | — | — | Common Stock | 253 | 1,267 | I |
Explanation of responses
- F1This transaction represents charitable contributions by the Reporting Person who served as Trustee for Green Earth Charitable Trust.
- 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 1/16th of the total number of units at the end of each of the twelve 3-month periods thereafter. Vested units are settled in shares of SMCI common stock.