Item 15. Exhibits and Financial Statement Schedules

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Item 15. Exhibits and Financial Statement Schedules

(a) 1. Financial Statements

See Index to consolidated financial statements in Part II, Item 8 of this Annual Report on Form 10-K, which is incorporated herein by reference.

2. Financial Statement Schedules

All financial statement schedules have been omitted because they are either not applicable or the required information is shown in the consolidated financial statements or notes thereto.

3. Exhibits

See the Exhibit Index which precedes the signature page of this Annual Report, which is incorporated herein by reference.

(b) Exhibits

See Item 15(a)(3) above.

(c) Financial Statement Schedules

See Item 15(a)(2) above.

EXHIBIT INDEX

Exhibit NumberDescription
3.3Amended and Restated Certificate of Incorporation of Super Micro Computer, Inc.(1)
3.4Amended and Restated Bylaws of Super Micro Computer, Inc.(1)
4.1Specimen Stock Certificate for Shares of Common Stock of Super Micro Computer, Inc.(1)
4.5Description of Securities(11)
10.1*Form of Restricted Stock Agreement under Super Micro Computer, Inc. 2006 Equity Incentive Plan(19)
10.2*Form of Restricted Stock Unit Agreement under Super Micro Computer, Inc. 2006 Equity Incentive Plan(20)
10.3*Form of Directors’ and Officers’ Indemnity Agreement(21)
10.4*Offer Letter for Sara Liu(22)
10.5*Offer Letter for Alex Hsu(23)
10.6*Director Compensation Policy through March 1, 2019(24)
10.7Product Manufacturing Agreement dated January 8, 2007 between Super Micro Computer, Inc. and Ablecom Technology Inc.(25)
10.8*Form of Notice of Grant of Stock Option under 2006 Equity Incentive Plan(2)
10.9*Form of Notice of Grant of Restricted Stock under 2006 Equity Incentive Plan(2)
10.10*Form of Notice of Grant of Restricted Stock Unit under 2006 Equity Incentive Plan(2)
10.11*2006 Equity Incentive Plan, as amended(3)
10.12*2016 Equity Incentive Plan(4)
10.13*Form of Notice of Grant of Stock Option under 2016 Equity Incentive Plan(5)
10.14*Form of Stock Option Agreement under 2016 Equity Incentive Plan(5)
10.15*Form of Notice of Grant of Restricted Stock Units under 2016 Equity Incentive Plan(5)
10.16*Form of Restricted Stock Units Agreement under 2016 Equity Incentive Plan(5)
10.17Loan and Security Agreement with Bank of America, N.A., dated April 19, 2018(6)
10.18Extension of Loan and Security Agreement with Bank of America, N.A., dated September 7, 2018(7)
10.19Second Amendment to Loan and Security Agreement, dated as of June 27, 2019(10)
10.20*‡Offer Letter for Kevin Bauer(12)
10.21*‡Offer Letter for Don Clegg(13)
10.22*‡Offer Letter for George Kao(14)
10.23*‡Offer Letter for David Weigand(15)
10.24Letter Agreement with Bank of America, N.A., dated October 28, 2019(16)
10.25*Super Micro Computer, Inc. 2020 Equity and Incentive Compensation Plan(17)
10.26Third Amendment to Loan and Security Agreement with Bank of America, N.A. dated May 12, 2020, by and among Super Micro Computer, Inc., the lenders party thereto and Bank of America, N.A., as administrative agent for the lenders(18)
10.27+Summary of Credit Facilities, dated June 26, 2019 between Super Micro Computer Inc. Taiwan and CTBC Bank
10.28+Summary of Terms & Conditions 10-Year Term Loan Facility, dated May 6, 2020, between Super Micro Computer Inc. Taiwan and CTBC Bank
10.29+Extension of Credit Facilities with CTBC Bank dated June 30, 2020
10.30+Extension of Credit Facilities with CTBC Bank dated August 24, 2020
10.31*+Form of Notice of Grant of Stock Option under 2020 Equity and Incentive Compensation Plan
10.32*+Form of Notice of Incentive Stock Option Agreement under 2020 Equity and Incentive Compensation Plan
10.33*+Form of Nonqualified Stock Option Agreement under 2020 Equity and Incentive Compensation Plan
10.34*+Form of Notice of Grant of Restricted Stock Units under 2020 Equity and Incentive Compensation Plan
10.35*+Form of Restricted Stock Units Agreement under 2020 Equity and Incentive Compensation Plan
14.1Code of Business Conduct and Ethics (8)
21.1+Subsidiaries of Super Micro Computer, Inc.
23.1+Consent of Independent Registered Public Accounting Firm
24.1+Power of Attorney (included in signature pages)
31.1+Certification of Charles Liang, President and CEO Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
31.2+Certification of Kevin Bauer, CFO and Secretary Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
32.1+Certification of Charles Liang, President and CEO Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002(9)
32.2+Certification of Kevin Bauer, CFO and Secretary Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002(9)
101.INS+XBRL Instance Document
101.SCH+XBRL Taxonomy Extension Schema Document
101.CAL+XBRL Taxonomy Extension Calculation Linkbase Document
101.DEF+XBRL Taxonomy Extension Definition Linkbase Document
101.LAB+XBRL Taxonomy Extension Label Linkbase Document
101.PRE+XBRL Taxonomy Extension Presentation Linkbase Document
+Filed herewith
(1)Incorporated by reference to the same number exhibit filed with the Registrant’s Registration Statement on Form S-1 (Registration No. 333-138370), declared effective by the Securities and Exchange Commission on March 28, 2007.
(2)Incorporated by reference to the Company’s registration statement on Form S-8 (Commission File No. 333-142404) filed with the Securities and Exchange Commission on April 27, 2007.
(3)Incorporated by reference to Appendix A from the Company’s Definitive Proxy Statement on Schedule 14A (Commission File No. 001-33383) filed with the Securities and Exchange Commission on January 18, 2011.
(4)Incorporated by reference to the Company's Current Report on Form 8-K (Commission File No. 001-33383) filed with the Securities and Exchange Commission on March 14, 2016.
(5)Incorporated by reference to the Company's registration statement on Form S-8 (Commission File No.333-210881) filed with the Securities and Exchange Commission on April 22, 2016.
(6)Incorporated by reference to Exhibit 10.51 from the Company's Annual Report on Form 10-K (Commission File No. 001-33383) filed with the Securities and Exchange Commission on May 17, 2019.
(7)Incorporated by reference to Exhibit 10.1 from the Company’s Current Report on 8-K (Commission File No. 001-33383) filed with the Securities and Exchange Commission on September 12, 2018.
(8)Incorporated by reference to Exhibit 14.1 from the Company’s Current Report on 8-K (Commission File No. 001-33383) filed with the Securities and Exchange Commission on February 5, 2019.
(9)The certifications attached as Exhibit 32.1 and 32.2 accompany the Annual Report on Form 10-K pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 and shall not be deemed “filed” by Super Micro Computer, Inc. for purposes of Section 18 of the Securities Exchange Act of 1934, as amended.
(10)Incorporated by reference to Exhibit 10.1 from the Company's Current report on 8-K (Commission File No. 001-33383) filed with the Securities and Exchange Commission on July 2, 2019.
(11)Incorporated by reference to Exhibit 4.5 from the Company’s Annual Report on Form 10-K (Commission File No. 001-33383) filed with the Securities and Exchange Commission on December 19, 2019.
(12)Incorporated by reference to Exhibit 10.55 from the Company’s Annual Report on Form 10-K (Commission File No. 001-33383) filed with the Securities and Exchange Commission on December 19, 2019.
(13)Incorporated by reference to Exhibit 10.56 from the Company’s Annual Report on Form 10-K (Commission File No. 001-33383) filed with the Securities and Exchange Commission on December 19, 2019.
(14)Incorporated by reference to Exhibit 10.57 from the Company’s Annual Report on Form 10-K (Commission File No. 001-33383) filed with the Securities and Exchange Commission on December 19, 2019.
(15)Incorporated by reference to Exhibit 10.58 from the Company’s Annual Report on Form 10-K (Commission File No. 001-33383) filed with the Securities and Exchange Commission on December 19, 2019.
(16)Incorporated by reference to Exhibit 10.59 from the Company’s Annual Report on Form 10-K (Commission File No. 001-33383) filed with the Securities and Exchange Commission on December 19, 2019.
(17)Incorporated by reference to Appendix A in the Company’s Definitive Proxy Statement on Schedule 14A (Commission File No. 001-33383) filed with the Securities and Exchange Commission on April 21, 2020.
(18)Incorporated by reference to Exhibit 10.1 from the Company’s Current Report on Form 8-K (Commission File No. 001-33383) filed with the Securities and Exchange Commission on May 13, 2020.
(19)Incorporated by reference to Exhibit 10.7 from the Company’s Registration Statement on Form S-1 (Registration No. 333-138370), declared effective by the Securities and Exchange Commission on March 28, 2007.
(20)Incorporated by reference to Exhibit 10.8 from the Company’s Registration Statement on Form S-1 (Registration No. 333-138370), declared effective by the Securities and Exchange Commission on March 28, 2007.
(21)Incorporated by reference to Exhibit 10.9 from the Company’s Registration Statement on Form S-1 (Registration No. 333-138370), declared effective by the Securities and Exchange Commission on March 28, 2007.
(22)Incorporated by reference to Exhibit 10.20 from the Company’s Registration Statement on Form S-1 (Registration No. 333-138370), declared effective by the Securities and Exchange Commission on March 28, 2007.
(23)Incorporated by reference to Exhibit 10.21 from the Company’s Registration Statement on Form S-1 (Registration No. 333-138370), declared effective by the Securities and Exchange Commission on March 28, 2007.
(24)Incorporated by reference to Exhibit 10.23 from the Company’s Registration Statement on Form S-1 (Registration No. 333-138370), declared effective by the Securities and Exchange Commission on March 28, 2007.
(25)Incorporated by reference to Exhibit 10.24 from the Company’s Registration Statement on Form S-1 (Registration No. 333-138370), declared effective by the Securities and Exchange Commission on March 28, 2007.
*Management contract, or compensatory plan or arrangement
‡Certain portions of this document, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy, have been redacted in accordance with Regulation S-K Item 606(a)(6).

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