0000950103-19-009308.txt : 20190711 0000950103-19-009308.hdr.sgml : 20190711 20190711194324 ACCESSION NUMBER: 0000950103-19-009308 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190709 FILED AS OF DATE: 20190711 DATE AS OF CHANGE: 20190711 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PATEL MUKESH CENTRAL INDEX KEY: 0001008034 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38102 FILM NUMBER: 19951837 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: 0830 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 dp109732_4-patel.xml FORM 4 X0306 4 2019-07-09 0 0001616533 SMART Global Holdings, Inc. SGH 0001008034 PATEL MUKESH C/O SMART MODULAR TECHNOLOGIES, INC. 39870 EUREKA DRIVE NEWARK CA 94560 1 0 0 0 Ordinary Shares 15585 D Ordinary Shares 2019-07-09 4 A 0 176612 A 176612 I Held through Invati Capital LLC Includes Restricted Stock Units. In connection with the acquisition by SMART Global Holdings, Inc. (the "Issuer") of Inforce Computing, Inc. ("Inforce Computing") on July 9, 2019, pursuant to an Agreement and Plan of Merger, dated July 9, 2019 (the "Merger Agreement"), Mr. Patel became entitled to receive 176,612 Ordinary Shares of the Issuer in respect of his approximate 28% ownership interest in Inforce Computing, 150,074 Ordinary Shares of which were issued to Mr. Patel at the closing of the acquisition and an additional 26,538 Ordinary Shares ("Holdback Shares") which may be issued to Mr. Patel on the date that is one year following the closing of the Inforce Acquisition, which Holdback Shares were retained by the Issuer as security for post-closing purchase price adjustments and the indemnification obligations of the shareholders of Inforce Computing under the Merger Agreement. /s/ Bruce Goldberg as attorney-in-fact for Mukesh Patel 2019-07-11