Liang Charles's Form 4 filing
Super Micro Computer, Inc. (SMCI) · filed Jan 19, 2023
- Accession no.
- 0001758554-23-000006
- Filed
- Jan 19, 2023
- Trade date
- Jan 17-18, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 15 non-derivative transactions and 2 derivative transactions. Open-market sales total $8.22M. It was filed 2 days after the trade.
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 |
|---|---|---|---|---|---|---|---|---|
| Jan 17, 2023 | Common Stock | MOption exerciseAcquired | +83,044 | $20.70 | +$1,719,010.8 | 6,718,273 | Direct | Duplicate filing |
| Jan 17, 2023 | Common Stock | SSaleDisposed | −12,201 | $80.92F3 | −$987,304.92 | 6,706,072 | Direct | Duplicate filing |
| Jan 17, 2023 | Common Stock | SSaleDisposed | −13,328 | $81.95F4 | −$1,092,229.6 | 6,692,744 | Direct | Duplicate filing |
| Jan 17, 2023 | Common Stock | SSaleDisposed | −10,825 | $82.79F5 | −$896,201.75 | 6,681,919 | Direct | Duplicate filing |
| Jan 17, 2023 | Common Stock | SSaleDisposed | −10,679 | $84.04F6 | −$897,463.16 | 6,671,240 | Direct | Duplicate filing |
| Jan 17, 2023 | Common Stock | SSaleDisposed | −2,967 | $84.69F7 | −$251,275.23 | 6,668,273 | Direct | Duplicate filing |
| Jan 18, 2023 | Common Stock | MOption exerciseAcquired | +80,150 | $20.70 | +$1,659,105 | 6,748,423 | Direct | Duplicate filing |
| Jan 18, 2023 | Common Stock | SSaleDisposed | −14,605 | $79.05F8 | −$1,154,525.25 | 6,733,818 | Direct | Duplicate filing |
| Jan 18, 2023 | Common Stock | SSaleDisposed | −10,937 | $80.38F9 | −$879,116.06 | 6,722,881 | Direct | Duplicate filing |
| Jan 18, 2023 | Common Stock | SSaleDisposed | −3,763 | $81.23F10 | −$305,668.49 | 6,719,118 | Direct | Duplicate filing |
| Jan 18, 2023 | Common Stock | SSaleDisposed | −3,045 | $82.28F11 | −$250,542.6 | 6,716,073 | Direct | Duplicate filing |
| Jan 18, 2023 | Common Stock | SSaleDisposed | −5,518 | $83.48F12 | −$460,642.64 | 6,710,555 | Direct | Duplicate filing |
| Jan 18, 2023 | Common Stock | SSaleDisposed | −7,077 | $85.44F13 | −$604,658.88 | 6,703,478 | Direct | Duplicate filing |
| Jan 18, 2023 | Common Stock | SSaleDisposed | −4,855 | $86.24F14 | −$418,695.2 | 6,698,623 | Direct | Duplicate filing |
| Jan 18, 2023 | Common Stock | SSaleDisposed | −200 | $86.80 | −$17,360 | 6,698,423 | Direct | 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 17, 2023 | Common Stock | MOption exerciseDisposed | −83,044 | $0.00 | $0 | 148,216 | Direct | Duplicate filing |
| Jan 18, 2023 | Common Stock | MOption exerciseDisposed | −80,150 | $0.00 | $0 | 68,066 | Direct | 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.
- F3
The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $80.4198 to $81.39, inclusive. The reporting person 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.
- F4
The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $81.4405 to $82.4359, inclusive. The reporting person 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. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $82.45 to $83.4268, inclusive. The reporting person 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. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $83.4532 to $84.44, inclusive. The reporting person 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. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $84.46 to $84.87, inclusive. The reporting person 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.
- F8
The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $78.67 to $79.64, inclusive. The reporting person 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.
- F9
The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $79.77 to $80.7679, inclusive. The reporting person 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.
- F10
The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $80.77 to $81.60, inclusive. The reporting person 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.
- F11
The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $81.90 to $82.5734, inclusive. The reporting person 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.
- F12
The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $83.1246 to $84.0504, inclusive. The reporting person 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.
- F13
The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $84.78 to $85.7753, inclusive. The reporting person 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.
- F14
The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $85.78 to $86.76, inclusive. The reporting person 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.