FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
|||||||||||||||
|
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
|
2. Issuer Name and Ticker or Trading Symbol
SMART Modular Technologies (WWH), Inc. [ SMOD ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
||||||||||||||||||||||||
3. Date of Earliest Transaction
(Month/Day/Year) 04/14/2010 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
---|---|---|---|---|---|---|---|---|---|---|
1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Ordinary Shares, Par Value $0.00016667 | 04/14/2010 | S | 2,340,805 | D | $7.94 | 1,618,590(1)(2)(3)(4) | I | Explanation of Responses(1)(2)(3)(4) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
| ||||||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
| ||||||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
|
Explanation of Responses: |
1. David Bonderman and James G. Coulter are directors, officers and sole shareholders of TPG Advisors IV, Inc., a Delaware corporation ("Advisors IV" and, together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the general partner of TPG Gen Par IV, L.P., a Delaware limited partnership, which is the general partner of TPG Partners IV, L.P., a Delaware limited partnership, which in turn is the managing member of TPG IV SM, LLC ("TPG IV SM"), which directly holds the Ordinary Shares of SMART Modular Technologies (WWH), Inc. (the "Issuer") reported herein. |
2. Messrs. Bonderman and Coulter are also directors, officers and sole shareholders of TPG Advisors III, Inc., a Delaware corporation ("Advisors III") and T(3) Advisors II, Inc., a Delaware corporation ("T(3) Advisors II" and, together with Advisors III and Advisors IV, the "Advisors Entities"), each of which is filing a Form 4 with the Securities and Exchange Commission (the "Commission") on the date hereof disclosing that, following the dispositions reported thereon, such entities may be deemed to beneficially own 1,055,086 and 1,336,837 Ordinary Shares of the Issuer, respectively. |
3. Because of the relationship of Advisors IV with TPG IV SM, Advisors IV may be deemed to beneficially own the Ordinary Shares of the Issuer directly held by TPG IV SM, to the extent of the greater of its direct or indirect pecuniary interests in the profits or capital accounts of TPG IV SM. Because of the relationships of Messrs. Bonderman and Coulter with the Advisors Entities, Messrs. Bonderman and Coulter may be deemed to beneficially own 4,010,513 Ordinary Shares of the Issuer, which is the aggregate number of Ordinary Shares reported herein and reported in the Forms 4 filed by each of Advisors III and T(3) Advisors II on the date hereof, in each case to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of the entities directly holding such Ordinary Shares. |
4. Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any securities beneficially owned in excess of their respective pecuniary interests. |
Remarks: |
Remarks: (5) The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act. (6) Clive D. Bode is signing on behalf of Mr. Bonderman pursuant to the authorization and designation letter dated September 1, 2009, previously filed with the Commission as an exhibit to a Form 3 filed on behalf of Mr. Bonderman on December 16, 2009. (7) Clive D. Bode is signing on behalf of Mr. Coulter pursuant to the authorization and designation letter dated September 1, 2009, previously filed with the Commission as an exhibit to a Form 3 filed on behalf of Mr. Coulter on December 16, 2009. |
/s/ Clive D. Bode(5), Vice President and Secretary | 04/16/2010 | |
/s/ Clive D. Bode(5)(6), on behalf of David Bonderman | 04/16/2010 | |
/s/ Clive D. Bode(5)(7), on behalf of James G. Coulter | 04/16/2010 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |