UNITED STATES SECURITIES AND EXCHANGE COMMISSION ----------------------
FORM 4 Washington, D.C. 20549 | OMB APPROVAL |
|---------------------|
| OMB Number: |
{} Check this box if STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES | 3235-0287 |
no longer subject to | Expires: |
Section 16. Form 4 or | November 30, 2011 |
Form 5 obligations may | Estimated average |
continue. See Instruction | burden hours per |
1(b). | response 0.5 |
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section -----------------------
17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the
(Print or Type Responses) Investment Company Act of 1940
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|1. Name and Address of | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) |
| Reporting Person* | | to Issuer (Check all applicable) |
|Liu Liang Chiu-Chu Sara |Super Micro Computer, Inc. SMCI | __X__ Director __X__ 10% Owner |
| | | _____ Officer _____ Other |
|--------------------------|---------------------------------------------------|
|(Last) (First) (Middle)|3. Date of Earliest Transaction (Month/Day/Year) | (give title below) (specify below)|
| | 04-29-2024 | |
|980 ROCK AVENUE, |---------------------------------------------------| |
| (Street) |4.If Amendment, Date Original Filed(Month/Day/Year)|-------------------------------------------------|
| | | 6. Individual or Joint/Group Filing |
|SAN JOSE - CA - 95131 | | (Check Applicable Line) |
| (City) (State) (Zip) | | _X_ Form filed by One Reporting Person |
| | | ___ Form filed by More than One |
| | | Reporting Person |
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Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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| 1. | 2. | 2a. | 3. | 4. | 5. | 6. | 7. |
| Title of | Trans- | Deemed | Transaction | Securities Acquired | Amount of Sec | Ownership | Nature of |
| Security | action | Execut. | Code | (A) or Disposed of (D) | Beneficially | Form: | Indirect |
| (Instr. 3) | Date | Date | (Instr. 8) | (Instr. 3, 4 and 5) |Owned Following| Direct | Beneficial |
| |----------|----------|---------|----|----------|-----|--------| Transaction(s)| (D) or | Ownership |
| | (Month/ | (Month/ | | | | (A) | | | Indirect | (Instr. 4) |
| | Day/ | Day/ | | | | or | | (Instr. 3 and | (I) | |
| | Year) | Year) | Code | V | Amount | (D) | Price | 4) | Instr. 4) | |
---------------------------------------------------------------------------------|-----------------------------------------------
|Common Stock |04-29-2024| |M | |525 |A |$42.35 |3,984 |D | |
| | | |#1 | | | | | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-29-2024| |S | |15 |D |$831.016|3,969 |D | |
| | | |#1 | | | |#2 | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-29-2024| |S | |16 |D |$835.87 |3,953 |D | |
| | | |#1 | | | | | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-29-2024| |S | |15 |D |$837.006|3,938 |D | |
| | | |#1 | | | |#3 | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-29-2024| |S | |19 |D |$839.715|3,919 |D | |
| | | | | | | | 8 | | | |
| | | |#1 | | | |#4 | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-29-2024| |S | |16 |D |$841.64 |3,903 |D | |
| | | |#1 | | | | | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-29-2024| |S | |16 |D |$843.13 |3,887 |D | |
| | | |#1 | | | | | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-29-2024| |S | |16 |D |$848.01 |3,871 |D | |
| | | |#1 | | | | | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-29-2024| |S | |32 |D |$854.89 |3,839 |D | |
| | | |#1 | | | |#5 | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-29-2024| |S | |16 |D |$858.49 |3,823 |D | |
| | | |#1 | | | | | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-29-2024| |S | |16 |D |$864.56 |3,807 |D | |
| | | |#1 | | | | | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-29-2024| |S | |16 |D |$866.6 |3,791 |D | |
| | | |#1 | | | | | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-29-2024| |S | |32 |D |$869.825|3,759 |D | |
| | | |#1 | | | |#6 | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-29-2024| |S | |16 |D |$872.3 |3,743 |D | |
| | | |#1 | | | | | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-29-2024| |S | |16 |D |$873.5 |3,727 |D | |
| | | |#1 | | | | | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-29-2024| |S | |32 |D |$875.345|3,695 |D | |
| | | |#1 | | | |#7 | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-29-2024| |S | |32 |D |$877.345|3,663 |D | |
| | | |#1 | | | |#8 | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-29-2024| |S | |16 |D |$878.14 |3,647 |D | |
| | | |#1 | | | | | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-29-2024| |S | |16 |D |$879.55 |3,631 |D | |
| | | |#1 | | | | | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-29-2024| |S | |32 |D |$883.04 |3,599 |D | |
| | | |#1 | | | |#9 | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-29-2024| |S | |32 |D |$887.185|3,567 |D | |
| | | |#1 | | | |#10 | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-29-2024| |S | |16 |D |$888.4 |3,551 |D | |
| | | |#1 | | | | | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-29-2024| |S | |32 |D |$889.685|3,519 |D | |
| | | |#1 | | | |#11 | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-29-2024| |S | |14 |D |$891.07 |3,505 |D | |
| | | |#1 | | | | | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-29-2024| |S | |16 |D |$892.5 |3,489 |D | |
| | | |#1 | | | | | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-29-2024| |S | |30 |D |$894.171|3,459 |D | |
| | | | | | | | 3 | | | |
| | | |#1 | | | |#12 | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock | | | | | | | |6,666,417 |I |By Spouse |
|--------------------------------------------------------------------------------|-----------------------------------------------|
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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|1. |2. | 3. | 3a. |4. | 5. | 6. | 7. |8. |9. |10. |11. |
|Title of|Conver- | Trans- | Deemed |Trans- | Number of | Date | Title and |Price |Number |Owner- |Nature of|
|Deriv- |sion or | action | Execu. |action | Deriv- | Exercisable | Amount of |of |of |ship |Indirect |
|ative |Exercise| Date | Date |Code | ative | and Expira- | Underlying |Deriv- |Deriv- |Form |Benefici.|
|Security|Price of| (Month/ | (Month/ |(Instr.| Securities | tion Date | Securities |ative |ative |of |Ownership|
|(Instr. |Deriv- | Day/ | Day/ |8) | Acquired | (Month/Day/ | (Instr. 3 |Secur- |Secur- |Deriv- |(Instr. 4|
| 3) |ative | Year) | Year) | | (A) or | Year) | and 4) |ity |ities |ative | |
| |Security| | | | Disposed of |----------------|--------------|(Instr.|Bene- |Secur- | |
| | | | |-------| (D) (Instr. | | | | | 5) |ficially|ity | |
| | | | | | | 3, 4 and 5) | | | |Amount | |Owned |Direct | |
| | | | | | |--------------| | | |or | |folowing|(D) or | |
| | | | | | | | |Date |Expira- | |Number | |reported|Indirect| |
| | | | | | | | |Exer- |tion | |of | |tran.(s)|(I) | |
| | | | |Code| V| (A) | (D) |cisable|Date |Title |Shares | |(Inst.4)|Instr. 4| |
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|Employee|$42.35 |04-29-202| |M | | |525 | |04-27-20|Common|525 |$0 |2,098 |D | |
| Stock O| |4 | | | | | | |26 | Stock| | | | | |
|ption (r| | | | | | | | | | | | | | | |
|ight to | | | | | | | | | | | | | | | |
|buy) | | | | | | | | | | | | | | | |
| | | | |#1 | | | |#13 | | | | | | | |
|--------------------------------------------------------------------------------------------------------------------------------|
+----------------------------------------------------------------------------------+
| | Relationships |
| Reporting Owner Name / Address +----------+----------+----------+-------- -+
| | Director |10% Owner | Officer | Other |
+--------------------------------------+----------+----------+----------+----------+
|Liu Liang Chiu-Chu Sara | X | X | | |
|980 ROCK AVENUE | | | | |
|SAN JOSE CA 95131 | | | | |
|--------------------------------------+----------+----------+----------+----------|
Explanation of Responses:
1 The stock option exercises and broker-assisted sales transactions reported in this
Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting
Person on February 23, 2023 during the Company's open window period (the "Trading Pla
n").
2 The price reported here is a weighted average price. The shares were sold in multip
le transactions at prices ranging from $831.01 to $831.03, inclusive. The Reporting P
erson undertakes to provide to Super Micro Computer, Inc., any security holder of Sup
er 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
.
3 The price reported here is a weighted average price. The shares were sold in multip
le transactions at prices ranging from $837.00 to $837.02, inclusive. The Reporting P
erson undertakes to provide to Super Micro Computer, Inc., any security holder of Sup
er 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
.
4 The price reported here is a weighted average price. The shares were sold in multip
le transactions at prices ranging from $839.00 to $839.85, inclusive. The Reporting P
erson undertakes to provide to Super Micro Computer, Inc., any security holder of Sup
er 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
.
5 The price reported here is a weighted average price. The shares were sold in multip
le transactions at prices ranging from $854.53 to $855.25, inclusive. The Reporting P
erson undertakes to provide to Super Micro Computer, Inc., any security holder of Sup
er 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
.
6 The price reported here is a weighted average price. The shares were sold in multip
le transactions at prices ranging from $869.58 to $870.07, inclusive. The Reporting P
erson undertakes to provide to Super Micro Computer, Inc., any security holder of Sup
er 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
.
7 The price reported here is a weighted average price. The shares were sold in multip
le transactions at prices ranging from $874.96 to $875.73, inclusive. The Reporting P
erson undertakes to provide to Super Micro Computer, Inc., any security holder of Sup
er 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
.
8 The price reported here is a weighted average price. The shares were sold in multip
le transactions at prices ranging from $877.14 to $877.55, inclusive. The Reporting P
erson undertakes to provide to Super Micro Computer, Inc., any security holder of Sup
er 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
.
9 The price reported here is a weighted average price. The shares were sold in multip
le transactions at prices ranging from $882.83 to $883.25, inclusive. The Reporting P
erson undertakes to provide to Super Micro Computer, Inc., any security holder of Sup
er 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
.
10 The price reported here is a weighted average price. The shares were sold in multi
ple transactions at prices ranging from $887.00 to $887.37, inclusive. The Reporting
Person undertakes to provide to Super Micro Computer, Inc., any security holder of Su
per Micro Computer, Inc., or the staff of the Securities and Exchange Commission, upo
n request, full information regarding the number of shares sold at each separate pric
e.
11 The price reported here is a weighted average price. The shares were sold in multi
ple transactions at prices ranging from $889.64 to $889.73, inclusive. The Reporting
Person undertakes to provide to Super Micro Computer, Inc., any security holder of Su
per Micro Computer, Inc., or the staff of the Securities and Exchange Commission, upo
n request, full information regarding the number of shares sold at each separate pric
e.
12 The price reported here is a weighted average price. The shares were sold in multi
ple transactions at prices ranging from $894.05 to $894.31, inclusive. The Reporting
Person undertakes to provide to Super Micro Computer, Inc., any security holder of Su
per Micro Computer, Inc., or the staff of the Securities and Exchange Commission, upo
n request, full information regarding the number of shares sold at each separate pric
e.
13 Subject to the Reporting Person's continued service to the Issuer, the total numbe
r of shares subject to the option shall vest and become exercisable at the rate of 1/
4th of the shares on the first anniversary of the vesting commencement date on April
27, 2022, and 1/16th at the end of each successive calendar quarter thereafter.
Remarks:
Signatures
/s/ David E Weigand, Attorney-In-Fact / 05-01-2024
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** Signature of Reporting Person Date
* If the form is filed by more than one reporting person, seeInstruction 5(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.
Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.