0000950103-18-012033.txt : 20181015 0000950103-18-012033.hdr.sgml : 20181015 20181015162434 ACCESSION NUMBER: 0000950103-18-012033 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181011 FILED AS OF DATE: 20181015 DATE AS OF CHANGE: 20181015 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: 181122482 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 dp96980_4-goldberg.xml FORM 4 X0306 4 2018-10-11 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 2018-10-11 4 M 0 3836 2.64 A 14727 D Ordinary Shares 2018-10-11 4 S 0 400 28.51 D 14327 D Ordinary Shares 2018-10-11 4 S 0 3436 30.26 D 10891 D Employee Stock Options (right to buy) 2.64 2018-10-11 4 M 0 3836 0 D 2020-09-27 Ordinary Shares 3836 0 D The transactions reported herein were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017 and modified on 04/07/2018 and 08/03/2018. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $28.15 to $29.03.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 such ranges. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $29.69 to $30.55. 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 such ranges. The option was granted on 09/28/2010 and was fully vested on 09/28/2014. /s/ Bruce Goldberg 2018-10-15