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 | $275.76 | −$1,033,272.72 | 6,815 | Direct | |
| Nov 10, 2023 | Common Stock | MOption exerciseAcquired | +152 | – | – | 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 | – | – | 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
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.