0000899243-20-029047.txt : 20201022
0000899243-20-029047.hdr.sgml : 20201022
20201022172324
ACCESSION NUMBER: 0000899243-20-029047
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201020
FILED AS OF DATE: 20201022
DATE AS OF CHANGE: 20201022
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: 201255519
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
2020-10-20
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
Executive Chairman
Ordinary Shares
2020-10-20
4
F
0
4121
25.43
D
382950
D
Ordinary Shares
2020-10-20
4
F
0
133863
25.14
D
249087
D
Ordinary Shares
2020-10-20
5
G
0
E
165962
0.00
D
83125
D
Ordinary Shares
2020-10-20
5
G
0
E
165962
0.00
A
536951
I
See footnotes
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.
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 in May 2019 and the vesting of restricted ordinary shares and performance stock awards granted in May 2020, which the Issuer determined to fully vest on October 20, 2020. No shares were sold by Mr. Shah. The shares delivered or released upon vesting, along with certain other shares held directly by Mr. Shah were transferred by Mr. Shah to a trust for the benefit of Mr. Shah and his family.
These securities are held by Mr. Shah directly.
These securities are held through trusts for the benefit of Mr. Shah and his family.
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.").
Mr. Shah serves as Executive Chairman of the Board 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, 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.
/s/ Ajay Shah
2020-10-22