# EDGAR Filing Document

**Accession Number:** 0001375365
**File Stem:** 0001758554-23-000005
**Filing Date:** 2023-1
**Character Count:** 14372
**Document Hash:** a87557849d0608e514e35a5ec0cbe25e
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001758554-23-000005.hdr.sgml**: 20230119

**ACCESSION NUMBER**: 0001758554-23-000005

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230117

**FILED AS OF DATE**: 20230119

**DATE AS OF CHANGE**: 20230119

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Liu Liang Chiu-Chu Sara
- **CENTRAL INDEX KEY:** 0001392941

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-33383
- **FILM NUMBER:** 23538516

**MAIL ADDRESS:**
- **STREET 1:** 980 ROCK AVE
- **CITY:** SAN JOSE
- **STATE:** CA
- **ZIP:** 95131
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Super Micro Computer, Inc.
- **CENTRAL INDEX KEY:** 0001375365
- **STANDARD INDUSTRIAL CLASSIFICATION:** ELECTRONIC COMPUTERS [3571]
- **IRS NUMBER:** 770353939
- **STATE OF INCORPORATION:** CA
- **FISCAL YEAR END:** 0630

**BUSINESS ADDRESS:**
- **STREET 1:** 980 ROCK AVENUE
- **CITY:** SAN JOSE
- **STATE:** CA
- **ZIP:** 95131
- **BUSINESS PHONE:** 408-503-8000

**MAIL ADDRESS:**
- **STREET 1:** 980 ROCK AVENUE
- **CITY:** SAN JOSE
- **STATE:** CA
- **ZIP:** 95131

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] 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 for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Liu Liang Chiu-Chu Sara<br><sub>(Last) (First) (Middle)</sub><br>980 ROCK AVENUE<br><sub>(Street)</sub><br>SAN JOSE, CA 95131<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-17 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Super Micro Computer, Inc. [ SMCI ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-01-17 |  | M<sup>(1)(2)</sup> |  | 83044 | A | $20.70 | 6718273 | I | By Spouse |
| Common Stock | 2023-01-17 |  | S<sup>(1)(2)</sup> |  | 12201 | D | 80.9229<sup>(3)</sup> | 6706072 | I | By Spouse |
| Common Stock | 2023-01-17 |  | S<sup>(1)(2)</sup> |  | 13328 | D | 81.9548<sup>(4)</sup> | 6692744 | I | By Spouse |
| Common Stock | 2023-01-17 |  | S<sup>(1)(2)</sup> |  | 10825 | D | 82.7874<sup>(5)</sup> | 6681919 | I | By Spouse |
| Common Stock | 2023-01-17 |  | S<sup>(1)(2)</sup> |  | 10679 | D | 84.0412<sup>(6)</sup> | 6671240 | I | By Spouse |
| Common Stock | 2023-01-17 |  | S<sup>(1)(2)</sup> |  | 2967 | D | 84.688<sup>(7)</sup> | 6668273 | I | By Spouse |
| Common Stock | 2023-01-18 |  | M<sup>(1)(2)</sup> |  | 80150 | A | $20.70 | 6748423 | I | By Spouse |
| Common Stock | 2023-01-18 |  | S<sup>(1)(2)</sup> |  | 14605 | D | 79.0491<sup>(8)</sup> | 6733818 | I | By Spouse |
| Common Stock | 2023-01-18 |  | S<sup>(1)(2)</sup> |  | 10937 | D | 80.3801<sup>(9)</sup> | 6722881 | I | By Spouse |
| Common Stock | 2023-01-18 |  | S<sup>(1)(2)</sup> |  | 3763 | D | 81.232<sup>(10)</sup> | 6719118 | I | By Spouse |
| Common Stock | 2023-01-18 |  | S<sup>(1)(2)</sup> |  | 3045 | D | 82.2804<sup>(11)</sup> | 6716073 | I | By Spouse |
| Common Stock | 2023-01-18 |  | S<sup>(1)(2)</sup> |  | 5518 | D | 83.4841<sup>(12)</sup> | 6710555 | I | By Spouse |
| Common Stock | 2023-01-18 |  | S<sup>(1)(2)</sup> |  | 7077 | D | 85.4388<sup>(13)</sup> | 6703478 | I | By Spouse |
| Common Stock | 2023-01-18 |  | S<sup>(1)(2)</sup> |  | 4855 | D | 86.2435<sup>(14)</sup> | 6698623 | I | By Spouse |
| Common Stock | 2023-01-18 |  | S<sup>(1)(2)</sup> |  | 200 | D | $86.80 | 6698423 | I | By Spouse |
| Common Stock |  |  |  |  |  |  |  | 2863 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Employee Stock Option (right to buy) | $20.7 | 2023-01-17 |  | M |  |  | 83044 | <sup>(15)</sup> | 2023-01-21 | Common Stock | 83044.0 | $0 | 148216 | I | By Spouse |
| Employee Stock Option (right to buy) | $20.7 | 2023-01-18 |  | M |  |  | 80150 | <sup>(15)</sup> | 2023-01-21 | Common Stock | 80150.0 | $0 | 68066 | I | By Spouse |

---

### Footnotes:

(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's spouse in November 2022 during the Company's open window period (the "Trading Plan").

(2) As of January 16, 2023, the Reporting Person's spouse held 231,260 in the money stock options that expire on January 21, 2023.   Such stock options had originally been issued on January 21, 2013 at an exercise price of $20.70.  Under the Trading Plan, the broker was instructed to sell just the amount of shares necessary to cover the option cost, taxes, commissions and fees of the stock options exercised under the Trading Plan (the "Program"). Following all such transactions reported in this Form 4, the amount of securities beneficially owned directly by the reporting person's spouse increased to 6,698,423 from 6,635,229 reported in the prior Form 4 filed by the reporting person's spouse on January 6, 2023.

(3) The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $80.4198 to $81.39, inclusive. The reporting person's spouse 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.

(4) The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $81.4405 to $82.4359, inclusive. The reporting person's spouse 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.

(5) The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $82.45 to $83.4268, inclusive. The reporting person's spouse 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.

(6) The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $83.4532 to $84.44, inclusive. The reporting person's spouse 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.

(7) The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $84.46 to $84.87, inclusive. The reporting person's spouse 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.

(8) The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $78.67 to $79.64, inclusive. The reporting person's spouse 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.

(9) The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $79.77 to $80.7679, inclusive. The reporting person's spouse 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.

(10) The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $80.77 to $81.60, inclusive. The reporting person's spouse 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.

(11) The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $81.90 to $82.5734, inclusive. The reporting person's spouse 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.

(12) The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $83.1246 to $84.0504, inclusive. The reporting person's spouse 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.

(13) The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $84.78 to $85.7753, inclusive. The reporting person's spouse 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.

(14) The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $85.78 to $86.76, inclusive. The reporting person's spouse 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.

(15) This stock option is fully vested and exercisable.

**Signature:** /s/ David E Weigand, Attorney-In-Fact  
**Date:** 2023-01-19

### Remarks:

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 Number.**