SMCI (NASDAQ: SMCI) CBO reports options, RSU awards holdings
Rhea-AI Filing Summary
Super Micro Computer, Inc. executive Vikranth Malyala, SVP and Chief Business Officer, has filed an initial ownership report showing his equity stake in the company. He holds 34,860 shares of common stock directly, along with multiple restricted stock unit (RSU) awards and stock options that can convert into additional shares of common stock.
The RSUs generally convert into one share of SMCI common stock per unit and vest over time, often in annual or quarterly increments, subject to his continued service. His option holdings include sizable grants exercisable at prices ranging from $2.24 to $45.32 per share, with expirations stretching out to 2035, highlighting a long-term, performance-tied compensation structure.
Positive
- None.
Negative
- None.
Insider Trade Summary
16 transactions reported
Mixed
16 txns
Insider
Malyala Vikranth
Role
SVP, Chief Business Officer
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| holding | Employee Stock Option (right to buy) | -- | -- | -- |
| holding | Employee Stock Option (right to buy) | -- | -- | -- |
| holding | Employee Stock Option (right to buy) | -- | -- | -- |
| holding | Employee Stock Option (right to buy) | -- | -- | -- |
| holding | Restricted Stock Units | -- | -- | -- |
| holding | Restricted Stock Units | -- | -- | -- |
| 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 | Restricted Stock Units | -- | -- | -- |
| holding | Employee Stock Option (right to buy) | -- | -- | -- |
| holding | Restricted Stock Units | -- | -- | -- |
| holding | Restricted Stock Units | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
Holdings After Transaction:
Employee Stock Option (right to buy) — 545,225 shares (Direct);
Restricted Stock Units — 41,421 shares (Direct);
Common Stock — 34,860 shares (Direct)
Footnotes (16)
- F1. The vesting commencement date is May 22, 2017. 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.
- F2. 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.
- F3. 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.
- F4. Subject to the Reporting Person's continued service to SMCI, the total number of shares subject to the option shall vest and become exercisable at the rate of 1/8th of the shares on the first quarter of the vesting commencement date on April 25, 2022, and 1/8th at the end of each successive calendar quarter thereafter.
- F5. Subject to the Reporting Person'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, 2023. Vested units are settled in shares of SMCI common stock.
- F6. Each restricted stock unit represents a contingent right to receive one share of SMCI common stock.
- F7. 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.
- F8. 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.
- F9. Subject to the Reporting Person's continued service to SMCI, the total number of shares subject to the option shall vest and become exercisable at the rate of 1/8th of the shares on the first quarter of the vesting commencement date on November 1, 2023, and 1/8th at the end of each successive calendar quarter thereafter.
- F10. Subject to the Reporting Person'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, 2024. Vested units are settled in shares of SMCI common stock.
- F11. Subject to the Reporting Person's continued service to SMCI, the total number of shares subject to the option shall vest and become exercisable at the rate of 1/8th of the shares on the first quarter of the vesting commencement date on April 29, 2025, and 1/8th at the end of each successive calendar quarter thereafter.
- F12. Subject to the Reporting Person'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, 2025. Vested units are settled in shares of SMCI common stock.
- F13. 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.
- F14. 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.
- F15. Subject to the Reporting Person's continued service 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.
- F16. Subject to the Reporting Person's continued service to SMCI, the restricted stock units vest in two equal tranches on February 17, 2026 and August 17, 2026. Vested units are settled in shares of SMCI common stock.
Key Figures
Direct common shares: 34,860 shares
Option grant: 120,000 shares at $27.80
Option grant: 100,000 shares at $3.95
+5 more
8 metrics
Direct common shares
34,860 shares
Direct ownership of SMCI common stock
Option grant
120,000 shares at $27.80
Employee Stock Option, expiration 2035-01-29
Option grant
100,000 shares at $3.95
Employee Stock Option, expiration 2032-01-25
Option grant
83,900 shares at $3.85
Employee Stock Option, expiration 2031-04-27
Option grant
58,200 shares at $2.24
Employee Stock Option, expiration 2029-04-30
Option grant
40,475 shares at $45.32
Employee Stock Option, expiration 2035-06-20
Option grant
75,000 shares at $9.33
Employee Stock Option, expiration 2033-04-25
RSU block
13,661 units
Restricted Stock Units, each for one SMCI share
Key Terms
Restricted Stock Units, Employee Stock Option (right to buy), vesting commencement date, contingent right to receive one share, +1 more
5 terms
Restricted Stock Units financial
"Subject to the Reporting Person's continued service to SMCI, the restricted stock units vest in four equal annual increments"
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
Employee Stock Option (right to buy) financial
"Employee Stock Option (right to buy) ... the option is exercisable at the rate of 1/4th of the shares"
vesting commencement date financial
"The vesting commencement date is April 30, 2019. The option is exercisable at the rate of 1/4th of the shares"
The vesting commencement date is the starting point when an employee begins earning ownership rights to their promised benefits, such as stock options or retirement contributions. Think of it like the day a savings account is opened—only after this date do the benefits start to grow and become fully available over time. It matters to investors because it marks when the clock begins ticking toward full ownership, affecting the timing and value of these benefits.
continued service to SMCI financial
"Subject to the Reporting Person's continued service to SMCI, the total number of shares subject to the option shall vest"
AI-generated analysis. How Rhea-AI works. Not financial advice.
FAQ
What does SMCI executive Vikranth Malyala’s Form 3 filing show?
The Form 3 shows Vikranth Malyala’s initial ownership in SMCI, including 34,860 common shares plus multiple RSU and stock option awards. These equity interests vest over time and can significantly increase his future share exposure if fully vested and exercised.
What stock option grants are disclosed for SMCI executive Vikranth Malyala?
The filing lists several option grants, including 120,000 underlying shares at an exercise price of $27.80, 100,000 shares at $3.95, 83,900 shares at $3.85, and 58,200 shares at $2.24. These options expire between 2029 and 2035, aligning with long-term incentives.
What restricted stock unit (RSU) awards does Vikranth Malyala hold in SMCI?
Malyala holds multiple RSU blocks, such as 13,661, 8,450, 4,600, 4,239, 2,440, 6,000 and 2,031 units. Each RSU generally represents a contingent right to receive one SMCI share, vesting in scheduled increments based on his continued service to the company.
How do vesting terms affect Vikranth Malyala’s SMCI equity awards?
The footnotes state that both options and RSUs vest over time, often 25% on an initial date and the remainder in quarterly or annual installments. Vesting is conditioned on his continued service, tying his potential share gains to ongoing employment and performance.