Name | Relationship | Address | Signature | Signature date | CIK |
---|---|---|---|---|---|
Liang Charles | President and CEO, Director, 10%+ Owner | 980 ROCK AVENUE, SAN JOSE | /s/ David E Weigand, Attorney-In-Fact | 2025-08-28 | 0001392942 |
Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|
holding | SMCI | Common Stock | 40.4M | Aug 26, 2025 | Direct | ||||||
holding | SMCI | Common Stock | 604K | Aug 26, 2025 | By Spouse | ||||||
holding | SMCI | Common Stock | 25.7M | Aug 26, 2025 | By Joint Account w/ Spouse |
Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
transaction | SMCI | Employee Stock Option (right to buy) | Award | $0 | +1M | +25% | $0.00 | 5M | Aug 26, 2025 | Common Stock | 1M | $45.00 | Direct | F1 |
transaction | SMCI | Restricted Stock Units | Award | $0 | +1.09K | $0.00 | 1.09K | Aug 26, 2025 | Common Stock | 1.09K | By Spouse | F2, F3 |
Id | Content |
---|---|
F1 | On November 14, 2023, the Reporting Person was granted a performance-based stock option award to purchase up to 5,000,000 shares of common stock (the "Award") if and to the extent the five equal tranches of the Award are earned based on the achievement of certain absolute revenue and stock price goals. On August 26, 2025, achievement of the revenue goal for the fifth tranche of 1,000,000 shares under the Award was certified, which resulted in the creation of a reportable derivative security under Section 16. This fifth tranche will be earned and exercisable only if and when the applicable $110 stock price goal achievement is certified. |
F2 | Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. |
F3 | Subject to the Reporting Person's spouse's continued service to SMCI, the restricted stock units vest in four equal annual increments on July 1 of each year, beginning on July 1, 2026. Vested units are settled in shares of SMCI common stock. |