Kao George's Form 4 filing
Super Micro Computer, Inc.SMCI · filed Nov 13, 2023
- Accession no.
- 0001758554-23-000119
- Filed
- Nov 13, 2023
- Trade date
- Nov 9-10, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 6 non-derivative transactions and 3 derivative transactions. Open-market sales total $1.03M. It was filed 4 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 |
|---|---|
| Kao GeorgeCIK 0001777243 | Officer (SVP, OPERATIONS) |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 9, 2023 | Common Stock | MOption exerciseAcquired | +2,972 | $13.00 | +$38,636 | 10,562 | Direct | |
| Nov 9, 2023 | Common Stock | SSaleDisposed | −3,747 | $275.76F1 | −$1,033,272.72 | 6,815 | Direct | |
| Nov 10, 2023 | Common Stock | MOption exerciseAcquired | +152 | –F2 | – | 6,967 | Direct | |
| Nov 10, 2023 | Common Stock | FTax withholdingDisposed | −76 | $266.03 | −$20,218.28 | 6,891 | Direct | |
| Nov 10, 2023 | Common Stock | MOption exerciseAcquired | +732 | –F2 | – | 7,623 | Direct | |
| Nov 10, 2023 | Common Stock | FTax withholdingDisposed | −363 | $266.03 | −$96,568.89 | 7,260 | Direct |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 9, 2023 | Common Stock | MOption exerciseDisposed | −2,972 | $0.00 | $0 | 0 | Direct | |
| Nov 10, 2023 | Common Stock | MOption exerciseDisposed | −152 | $0.00 | $0 | 608 | Direct | |
| Nov 10, 2023 | Common Stock | MOption exerciseDisposed | −732 | $0.00 | $0 | 2,198 | Direct |
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.
- F1
The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $275.75 to $276.03, 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.
- F2
Each restricted stock unit represents a contingent right to receive one share of SMCI common stock.
Referenced by the price of 2 transactions in Table I.