0000950103-18-003608.txt : 20180321 0000950103-18-003608.hdr.sgml : 20180321 20180321153834 ACCESSION NUMBER: 0000950103-18-003608 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180319 FILED AS OF DATE: 20180321 DATE AS OF CHANGE: 20180321 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLDBERG BRUCE M CENTRAL INDEX KEY: 0001005688 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38102 FILM NUMBER: 18704369 MAIL ADDRESS: STREET 1: C/O SMART GLOBAL HOLDINGS, INC. STREET 2: 39870 EUREKA DRIVE CITY: NEWARK STATE: CA ZIP: 94560 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SMART Global Holdings, Inc. CENTRAL INDEX KEY: 0001616533 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 981013909 STATE OF INCORPORATION: E9 FISCAL YEAR END: 0831 BUSINESS ADDRESS: STREET 1: 39870 EUREKA DRIVE CITY: NEWARK STATE: CA ZIP: 94560-4809 BUSINESS PHONE: (510) 623-1231 MAIL ADDRESS: STREET 1: 39870 EUREKA DRIVE CITY: NEWARK STATE: CA ZIP: 94560-4809 4 1 dp88418_4-goldberg.xml OWNERSHIP DOCUMENT X0306 4 2018-03-19 0 0001616533 SMART Global Holdings, Inc. SGH 0001005688 GOLDBERG BRUCE M C/O SMART MODULAR TECHNOLOGIES, INC. 39870 EUREKA DRIVE NEWARK CA 94560 0 1 0 0 VP, Chief Legal Officer Ordinary Shares 2018-03-19 4 M 0 2500 2.64 A 13391 D Ordinary Shares 2018-03-19 4 S 0 1300 41.9940 D 12091 D Ordinary Shares 2018-03-19 4 S 0 300 42.8167 D 11791 D Ordinary Shares 2018-03-19 4 S 0 200 43.9750 D 11591 D Ordinary Shares 2018-03-19 4 S 0 600 45.3117 D 10991 D Ordinary Shares 2018-03-19 4 S 0 100 45.6900 D 10891 D Employee Stock Options (right to buy) 2.64 2018-03-19 4 M 0 2500 0 D 2019-08-24 Ordinary Shares 2500 9166 D The sales were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $41.37 to $45.69. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4 The original option vested and became exercisable 50% in May 2017 with the remainder vesting quarterly through May 2018. The reporting person's Form 4 filed on 2/27/18 incorrectly reported the expiration date of this option as 02/05/2024. /s/ Bruce Goldberg 2018-03-21