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Super Micro Computer (SMCI) Sr. VP Jin Xiao details stock, options, RSUs

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
3

Rhea-AI Filing Summary

Super Micro Computer, Inc. senior executive Jin Xiao filed an initial ownership report showing equity holdings in the company. As of this filing, Xiao beneficially owns 182,589 shares of Super Micro common stock directly and 53 shares indirectly through a spouse. The filing also lists several employee stock options and restricted stock units covering additional shares of common stock, with option exercise prices of $2.24, $3.85, $9.33, and $45.32 and expiration dates ranging from April 2029 to June 2035. These options and units generally vest over time, typically with 25% vesting after one year or a specified date and the remainder in equal quarterly installments, and vested units are settled in shares of Super Micro common stock.

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Insider Xiao Jin
Role Sr. Corporate VP, Engineering
Type Security Shares Price Value
holding Employee Stock Option (right to buy) -- -- --
holding Employee Stock Option (right to buy) -- -- --
holding Restricted Stock Units -- -- --
holding Employee Stock Option (right to buy) -- -- --
holding Restricted Stock Units -- -- --
holding Employee Stock Option (right to buy) -- -- --
holding Common Stock -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Employee Stock Option (right to buy) — 58,200 shares (Direct); Restricted Stock Units — 11,820 shares (Direct); Common Stock — 182,589 shares (Direct); Common Stock — 53 shares (Indirect, By Spouse)
Footnotes (1)
  1. The vesting commencement date is April 30, 2019. The option is exercisable at the rate of 1/4th of the shares on the first anniversary of the vesting commencement date and 1/16th at the end of each successive calendar quarter thereafter. The vesting commencement date is April 27, 2021. The option is exercisable at the rate of 1/4th of the shares on the first anniversary of the vesting commencement date and 1/16th at the end of each successive calendar quarter thereafter. Subject to the Reporting Person's continued service to SMCI, the restricted stock units vest at the rate of 25% of the total number of units on May 10, 2024 and 1/16th at the end of each successive calendar quarter thereafter. Vested units are settled in shares of SMCI common stock. Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. The vesting commencement date is April 25, 2023. The option is exercisable at the rate of 1/4th of the shares on the first anniversary of the vesting commencement date and 1/16th at the end of each successive calendar quarter thereafter. Subject to the Reporting Person's continued service to SMCI, the restricted stock units vest at the rate of 25% of the total number of units on May 10, 2026 and 1/16th at the end of each successive calendar quarter thereafter. Vested units are settled in shares of SMCI common stock. The vesting commencement date is April 29, 2025. The option is exercisable at the rate of 1/4th of the shares on the first anniversary of the vesting commencement date and 1/16th at the end of each successive calendar quarter thereafter.
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SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person*
Xiao Jin
(Last) (First) (Middle)
980 ROCK AVE
(Street)
SAN JOSE CA 95131
(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
01/05/2026 		3. Issuer Name and Ticker or Trading Symbol
Super Micro Computer, Inc. [ SMCI ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Sr. Corporate VP, Engineering
5. If Amendment, Date of Original Filed (Month/Day/Year)
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 Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 182,589 D
Common Stock 53 I By Spouse
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (right to buy) (1) 04/30/2029 Common Stock 58,200 $2.24 D
Employee Stock Option (right to buy) (2) 04/27/2031 Common Stock 73,500 $3.85 D
Restricted Stock Units (3) (3) Common Stock 11,820 (4) D
Employee Stock Option (right to buy) (5) 04/25/2033 Common Stock 70,000 $9.33 D
Restricted Stock Units (6) (6) Common Stock 16,392 (4) D
Employee Stock Option (right to buy) (7) 06/20/2035 Common Stock 36,428 $45.32 D
Explanation of Responses:
1. The vesting commencement date is April 30, 2019. The option is exercisable at the rate of 1/4th of the shares on the first anniversary of the vesting commencement date and 1/16th at the end of each successive calendar quarter thereafter.
2. The vesting commencement date is April 27, 2021. The option is exercisable at the rate of 1/4th of the shares on the first anniversary of the vesting commencement date and 1/16th at the end of each successive calendar quarter thereafter.
3. Subject to the Reporting Person's continued service to SMCI, the restricted stock units vest at the rate of 25% of the total number of units on May 10, 2024 and 1/16th at the end of each successive calendar quarter thereafter. Vested units are settled in shares of SMCI common stock.
4. Each restricted stock unit represents a contingent right to receive one share of SMCI common stock.
5. The vesting commencement date is April 25, 2023. The option is exercisable at the rate of 1/4th of the shares on the first anniversary of the vesting commencement date and 1/16th at the end of each successive calendar quarter thereafter.
6. Subject to the Reporting Person's continued service to SMCI, the restricted stock units vest at the rate of 25% of the total number of units on May 10, 2026 and 1/16th at the end of each successive calendar quarter thereafter. Vested units are settled in shares of SMCI common stock.
7. The vesting commencement date is April 29, 2025. The option is exercisable at the rate of 1/4th of the shares on the first anniversary of the vesting commencement date and 1/16th at the end of each successive calendar quarter thereafter.
Remarks:
/s/ Jin Xiao 01/14/2026
** 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 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.
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.

Source: View Original Filing on SEC EDGAR

FAQ

What does Super Micro Computer (SMCI) disclose in this Form 3?

The filing reports Sr. Corporate VP, Engineering Jin Xiao’s initial beneficial ownership in Super Micro Computer, Inc., including common stock, employee stock options, and restricted stock units.

How many SMCI common shares does Jin Xiao directly and indirectly own?

Jin Xiao directly owns 182,589 shares of Super Micro common stock and indirectly owns 53 shares through a spouse.

What stock options are reported for SMCI executive Jin Xiao?

The filing lists employee stock options to acquire 58,200, 73,500, 70,000, and 36,428 SMCI common shares, with exercise prices of $2.24, $3.85, $9.33, and $45.32 and expirations between 2029 and 2035.

What restricted stock units (RSUs) does Jin Xiao hold in SMCI?

Jin Xiao holds SMCI restricted stock units covering 11,820 and 16,392 shares of common stock. Each unit represents a contingent right to receive one share of SMCI common stock.

How do the SMCI options and RSUs for Jin Xiao vest?

The options generally vest 25% on the first anniversary of the vesting commencement date (or specified vesting date) and 1/16th at the end of each successive calendar quarter thereafter. RSUs vest 25% on specified May 10 dates and then 1/16th quarterly, subject to continued service, and are settled in SMCI shares.

Does this SMCI Form 3 show any insider share sales or purchases?

No specific share purchase or sale transactions are listed; the filing reports holdings of common stock, options, and restricted stock units as of the stated date.