FORM 4
☐
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
☐ Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 |
OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
| | |
| 1. Name and Address of Reporting Person * CLEGG DON W | 2. Issuer Name and Ticker or Trading Symbol Super Micro Computer, Inc. [ SMCI ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) SVP, Worldwide Sales |
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
| ||
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person | |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
|
1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code (Instr. 8) |
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 2/14/2024 | M | 2,000 | A | $20.54 | 4,837 | D | |||
| Common Stock | 2/14/2024 | M | 20,000 | A | $22.1 | 24,837 | D | |||
| Common Stock | 2/14/2024 | M | 6,000 | A | $30.33 | 30,837 | D | |||
| Common Stock | 2/14/2024 | S | 700 | D | $863.6971 (1) | 30,137 | D | |||
| Common Stock | 2/14/2024 | S | 900 | D | $864.6978 (2) | 29,237 | D | |||
| Common Stock | 2/14/2024 | S | 645 | D | $865.9614 (3) | 28,592 | D | |||
| Common Stock | 2/14/2024 | S | 2,200 | D | $867.4936 (4) | 26,392 | D | |||
| Common Stock | 2/14/2024 | S | 1,100 | D | $868.2927 (5) | 25,292 | D | |||
| Common Stock | 2/14/2024 | S | 2,000 | D | $869.462 (6) | 23,292 | D | |||
| Common Stock | 2/14/2024 | S | 2,357 | D | $870.1628 (7) | 20,935 | D | |||
| Common Stock | 2/14/2024 | S | 700 | D | $871.5971 (8) | 20,235 | D | |||
| Common Stock | 2/14/2024 | S | 1,500 | D | $872.8567 (9) | 18,735 | D | |||
| Common Stock | 2/14/2024 | S | 1,000 | D | $874.081 (10) | 17,735 | D | |||
| Common Stock | 2/14/2024 | S | 1,500 | D | $875.17 (11) | 16,235 | D | |||
| Common Stock | 2/14/2024 | S | 3,785 | D | $876.2417 (12) | 12,450 | D | |||
| Common Stock | 2/14/2024 | S | 2,400 | D | $877.1242 (13) | 10,050 | D | |||
| Common Stock | 2/14/2024 | S | 800 | D | $877.9788 (14) | 9,250 | D | |||
| Common Stock | 2/14/2024 | S | 1,175 | D | $880.5819 (15) | 8,075 | D | |||
| Common Stock | 2/14/2024 | S | 2,339 | D | $881.4166 (16) | 5,736 | D | |||
| Common Stock | 2/14/2024 | S | 1,700 | D | $882.3435 (17) | 4,036 | D | |||
| Common Stock | 2/14/2024 | S | 1,326 | D | $883.6304 (18) | 2,710 | D | |||
| Common Stock | 2/14/2024 | S | 600 | D | $884.4683 (19) | 2,110 | D | |||
| Common Stock | 2/15/2024 | M | 500 | A | (20) | 2,610 | D | |||
| Common Stock | 2/15/2024 | F | 254 | D | $1,004 | 2,356 | D | |||
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
| 1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Employee Stock Option (right to buy) | $20.54 | 2/14/2024 | M | 2,000 | (21) | 8/3/2026 | Common Stock | 2,000 | $0 | 0 | D | ||||
| Employee Stock Option (right to buy) | $22.1 | 2/14/2024 | M | 20,000 | (21) | 7/31/2028 | Common Stock | 20,000 | $0 | 0 | D | ||||
| Employee Stock Option (right to buy) | $30.33 | 2/14/2024 | M | 6,000 | (22) | 8/4/2030 | Common Stock | 6,000 | $0 | 1,500 | D | ||||
| Restricted Stock Units | (20) | 2/15/2024 | M | 500 | (23) | (23) | Common Stock | 500 | $0 | 0 | D | ||||
| Reporting Owners | |||||
| Reporting Owner Name / Address | |||||
| Director | 10% Owner | Officer | Other | ||
| CLEGG DON W 980 ROCK AVENUE SAN JOSE, CA 95131 | SVP, Worldwide Sales | ||||
| Signatures | ||
| /s/ Don W. Clegg | 2/16/2024 | |
| **Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | |