0000899243-20-011163.txt : 20200422
0000899243-20-011163.hdr.sgml : 20200422
20200422170221
ACCESSION NUMBER: 0000899243-20-011163
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200420
FILED AS OF DATE: 20200422
DATE AS OF CHANGE: 20200422
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: 20808470
MAIL ADDRESS:
STREET 1: 2775 SAND HILL ROAD, SUITE 100
CITY: MENLO PARK
STATE: CA
ZIP: 94025
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: 0828
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
doc4.xml
FORM 4 SUBMISSION
X0306
4
2020-04-20
0
0001616533
SMART Global Holdings, Inc.
SGH
0001008036
SHAH AJAY
C/O SILVER LAKE,
2775 SAND HILL ROAD, SUITE 100
MENLO PARK
CA
94025
1
1
0
0
President and CEO
Ordinary Shares
2020-04-20
4
F
0
11799
23.01
D
125383
D
Ordinary Shares
6138094
I
Held through Silver Lake Partners III Cayman (AIV III), L.P.
Ordinary Shares
33077
I
Held through Silver Lake Technology Investors III Cayman, L.P
Ordinary Shares
3048465
I
Held through Silver Lake Sumeru Fund Cayman, L.P.
Ordinary Shares
37119
I
Held through Silver Lake Technology Investors Sumeru Cayman, L.P.
Ordinary Shares
365562
I
See footnotes
Reflects shares withheld from delivery by SMART Global Holdings, Inc. (the "Issuer") in connection with the satisfaction of tax withholding obligations upon vesting of a portion of the restricted stock units granted to Mr. Shah. No shares were sold by Mr. Shah.
These securities are held by Mr. Shah directly.
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.").
These securities are held through trusts for the benefit of Mr. Shah and his family. Includes 26,538 Ordinary Shares which may be issued to a trust for the benefit of Mr. Shah and his family in connection with the acquisition by the Issuer of Inforce Computing, Inc. ("Inforce Computing") on July 9, 2019, as previously disclosed. Such shares may be issued on the date that is one year following the closing of the acquisition and were retained by the Issuer as security for post-closing purchase price adjustments and the indemnification obligations of certain shareholders of Inforce Computing under the merger agreement.
Mr. Shah serves as Chairman of the Board, President and Chief Executive Officer of the Issuer, and as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and 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 disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.
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 Mr. Shah is the beneficial owner of any equity securities in excess of his pecuniary interest, and Mr. Shah disclaims beneficial ownership of the securities reported herein, except to the extent of his pecuniary interest therein, if any.
AJAY SHAH By: /s/ Ajay Shah
2020-04-22