Liang Charles's Form 4 filing
Super Micro Computer, Inc. (SMCI) · filed Jan 21, 2022
- Accession no.
- 0001758554-22-000004
- Filed
- Jan 21, 2022
- Trade date
- Dec 29, 2021-Jan 19, 2022
- Filing delay
- 23 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 1 derivative transaction. Open-market sales total $1.26M. It was filed 23 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Liang CharlesCIK 0001392942 | Director, Officer (President and CEO), 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 29, 2021 | Common Stock | GGiftDisposed | −47,700 | $0.00 | $0 | 6,651,229 | Direct | Duplicate filing |
| Jan 19, 2022 | Common Stock | MOption exerciseAcquired | +29,000 | $17.09 | +$495,610 | 119,177 | Indirect | Duplicate filing |
| Jan 19, 2022 | Common Stock | SSaleDisposed | −16,651 | $42.85F4 | −$713,495.35 | 102,526 | Indirect | Duplicate filing |
| Jan 19, 2022 | Common Stock | SSaleDisposed | −9,653 | $43.54F5 | −$420,291.62 | 92,873 | Indirect | Duplicate filing |
| Jan 19, 2022 | Common Stock | SSaleDisposed | −1,396 | $44.77F6 | −$62,498.92 | 91,477 | Indirect | Duplicate filing |
| Jan 19, 2022 | Common Stock | SSaleDisposed | −1,300 | $45.50F7 | −$59,150 | 90,177 | Indirect | Duplicate filing |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 19, 2022 | Common Stock | MOption exerciseDisposed | −29,000 | $0.00 | $0 | 0 | Indirect | Duplicate filing |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F4
The price reported here is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.275 to $43.27, inclusive. The reporting person's spouse undertakes to provide to Super Micro Computer, Inc., any security holder of Super Micro Computer, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F5
The price reported here is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.275 to $44.22, inclusive. The reporting person's spouse undertakes to provide to Super Micro Computer, Inc., any security holder of Super Micro Computer, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F6
The price reported here is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.30 to $45.15, inclusive. The reporting person's spouse undertakes to provide to Super Micro Computer, Inc., any security holder of Super Micro Computer, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F7
The price reported here is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.30 to $46.17, inclusive. The reporting person's spouse undertakes to provide to Super Micro Computer, Inc., any security holder of Super Micro Computer, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.