0000950103-18-005698.txt : 20180501 0000950103-18-005698.hdr.sgml : 20180501 20180501194013 ACCESSION NUMBER: 0000950103-18-005698 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180427 FILED AS OF DATE: 20180501 DATE AS OF CHANGE: 20180501 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: 18797182 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 dp90532_4-goldberg.xml FORM 4 X0306 4 2018-04-27 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 2018-04-27 4 M 0 2785 2.64 A 13676 D Ordinary Shares 2018-04-27 4 S 0 2285 39.3202 D 11391 D Ordinary Shares 2018-04-27 4 S 0 300 40.8100 D 11091 D Ordinary Shares 2018-04-27 4 S 0 200 42.1500 D 10891 D Employee Stock Options (right to buy) 2.64 2018-04-27 4 M 0 2785 0 D 2019-08-24 Ordinary Shares 2785 6381 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 $38.9600 to $39.9599. 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 price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $40.6200 to $41.6199. 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 price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $41.9800 to $42.9799. 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. /s/ Bruce Goldberg 2018-05-01