0000899243-17-015003.txt : 20170601 0000899243-17-015003.hdr.sgml : 20170601 20170601171719 ACCESSION NUMBER: 0000899243-17-015003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170530 FILED AS OF DATE: 20170601 DATE AS OF CHANGE: 20170601 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SHAH AJAY CENTRAL INDEX KEY: 0001008036 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38102 FILM NUMBER: 17885667 MAIL ADDRESS: STREET 1: 2775 SAND HILL ROAD, SUITE 100 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mercadante Paul CENTRAL INDEX KEY: 0001491157 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38102 FILM NUMBER: 17885666 MAIL ADDRESS: STREET 1: 2775 SAND HILL ROAD, SUITE 100 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SILVER LAKE SUMERU (OFFSHORE) AIV GP, LTD. CENTRAL INDEX KEY: 0001696894 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38102 FILM NUMBER: 17885672 BUSINESS ADDRESS: STREET 1: 2775 SAND HILL RD., SUITE 100 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-233-8120 MAIL ADDRESS: STREET 1: 2775 SAND HILL RD., SUITE 100 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Silver Lake Technology Associates Sumeru Cayman, L.P. CENTRAL INDEX KEY: 0001706523 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38102 FILM NUMBER: 17885670 BUSINESS ADDRESS: STREET 1: 2775 SAND HILL ROAD, SUITE 100 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-233-8120 MAIL ADDRESS: STREET 1: 2775 SAND HILL ROAD, SUITE 100 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SLTA Sumeru (GP) Cayman, L.P. CENTRAL INDEX KEY: 0001706811 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38102 FILM NUMBER: 17885671 BUSINESS ADDRESS: STREET 1: C/O SILVER LAKE STREET 2: 2775 SAND HILL ROAD, SUITE 100 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: (650)233-8120 MAIL ADDRESS: STREET 1: C/O SILVER LAKE STREET 2: 2775 SAND HILL ROAD, SUITE 100 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Silver Lake Technology Investors Sumeru Cayman, L.P. CENTRAL INDEX KEY: 0001706812 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38102 FILM NUMBER: 17885668 BUSINESS ADDRESS: STREET 1: C/O SILVER LAKE STREET 2: 2775 SAND HILL ROAD, SUITE 100 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: (650)233-8120 MAIL ADDRESS: STREET 1: C/O SILVER LAKE STREET 2: 2775 SAND HILL ROAD, SUITE 100 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Silver Lake Sumeru Fund Cayman, L.P. CENTRAL INDEX KEY: 0001706809 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38102 FILM NUMBER: 17885669 BUSINESS ADDRESS: STREET 1: C/O SILVER LAKE STREET 2: 2775 SAND HILL ROAD, SUITE 100 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: (650)233-8120 MAIL ADDRESS: STREET 1: C/O SILVER LAKE STREET 2: 2775 SAND HILL ROAD, SUITE 100 CITY: MENLO PARK STATE: CA ZIP: 94025 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-05-30 0 0001616533 SMART Global Holdings, Inc. SGH 0001696894 SILVER LAKE SUMERU (OFFSHORE) AIV GP, LTD. C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK CA 94025 0 0 1 0 0001706811 SLTA Sumeru (GP) Cayman, L.P. C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK CA 94025 0 0 1 0 0001706523 Silver Lake Technology Associates Sumeru Cayman, L.P. C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK CA 94025 0 0 1 0 0001706809 Silver Lake Sumeru Fund Cayman, L.P. C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK CA 94025 0 0 1 0 0001706812 Silver Lake Technology Investors Sumeru Cayman, L.P. C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK CA 94025 0 0 1 0 0001008036 SHAH AJAY C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK CA 94025 1 0 0 0 0001491157 Mercadante Paul C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK CA 94025 1 0 0 0 Ordinary Shares 2017-05-30 4 P 0 994640 11.00 A 9453560 I Held through Silver Lake Partners III Cayman (AIV III), L.P. Ordinary Shares 2017-05-30 4 P 0 5360 11.00 A 50944 I Held through Silver Lake Technology Investors III Cayman, L.P. Ordinary Shares 2017-05-30 4 P 0 493985 11.00 A 4695082 I Held through Silver Lake Sumeru Fund Cayman, L.P. Ordinary Shares 2017-05-30 4 P 0 6015 11.00 A 57169 I Held through Silver Lake Technology Investors Sumeru Cayman, L.P. Ordinary Shares 239306 I See footnotes Ordinary Shares 5297 D These ordinary shares, par value $0.03 per share, of SMART Global Holdings, Inc. (the "Issuer") were purchased for $11.00 per share in connection with the initial public offering of the Issuer. These securities are directly held by Silver Lake Partners III Cayman (AIV III), L.P. ("SLP III Cayman"). These securities are directly held by Silver Lake Technology Investors III Cayman, L.P. ("SLTI III Cayman"). Silver Lake Technology Associates III Cayman, L.P. ("SLTA III Cayman") is the general partner of SLP III Cayman and SLTI III Cayman. Silver Lake (Offshore) AIV GP III, Ltd. is the general partner of SLTA III Cayman. These securities are directly held by Silver Lake Sumeru Fund Cayman, L.P. ("SLS Cayman"). These securities are directly held by Silver Lake Technology Investors Sumeru Cayman, L.P. ("SLTI Sumeru Cayman"). Silver Lake Technology Associates Sumeru Cayman, L.P. ("SLTA Sumeru Cayman") is the general partner of SLS Cayman and SLTI Sumeru Cayman. SLTA Sumeru (GP) Cayman, L.P. ("SLTA Sumeru GP Cayman") is the general partner of SLTA Sumeru Cayman, and the general partner of SLTA Sumeru GP Cayman is Silver Lake Sumeru (Offshore) AIV GP, Ltd. ("SL Sumeru Offshore Ltd."). Messrs. Kenneth Hao, James Davidson, Ajay Shah and Paul Mercadante each serves as a director of the Issuer, and also each serves as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and each may be deemed to beneficially own any securities beneficially owned by SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. but each disclaims beneficial ownership of such securities, except to the extent of his respective pecuniary interest therein. These securities are held through trusts for the benefit of Mr. Shah and his family. These securities are held by Mr. Shah directly. This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act. As required, this Form 4 reports all direct and indirect transactions of the Reporting Persons, including the indirect transactions through SLP III Cayman and SLTI III Cayman, which are not included as Reporting Persons on this Form 4 because no more than 10 reporting persons can file any one Form 4 through the Securities and Exchange Commission's EDGAR system. Silver Lake (Offshore) AIV GP III, Ltd., SLTA III Cayman, SLP III Cayman, SLTI III Cayman and Messrs. Hao and Davidson have filed a separate Form 4, in which the direct and indirect transactions and ownership of those filers are separately reported, in addition to being reported on this Form 4. By: /s/ Karen M. King, Director of Silver Lake Sumeru (Offshore) AIV GP, Ltd. 2017-06-01 By: /s/ Karen M. King, Director of Silver Lake Sumeru (Offshore) AIV GP, Ltd., general partner of SLTA Sumeru (GP) Cayman, L.P. 2017-06-01 By: /s/ Karen M. King, Director of Silver Lake Sumeru (Offshore) AIV GP, Ltd., general partner of SLTA Sumeru (GP) Cayman, L.P., general partner of Silver Lake Technology Associates Sumeru Cayman, L.P. 2017-06-01 By: /s/ Karen M. King, Director of Silver Lake Sumeru (Offshore) AIV GP, Ltd., GP of SLTA Sumeru (GP) Cayman, L.P., GP of Silver Lake Technology Associates Sumeru Cayman, L.P., GP of Silver Lake Sumeru Fund Cayman, L.P. 2017-06-01 By: /s/ Karen M. King, Director of Silver Lake Sumeru (Offshore) AIV GP, Ltd., GP of SLTA Sumeru (GP) Cayman, L.P., GP of Silver Lake Technology Associates Sumeru Cayman, L.P., GP of Silver Lake Technology Investors Sumeru Cayman, L.P. 2017-06-01 AJAY SHAH By: /s/ Ajay Shah 2017-06-01 PAUL MERCADANTE By: /s/ Paul Mercadante 2017-06-01