0000950103-18-014404.txt : 20181206 0000950103-18-014404.hdr.sgml : 20181206 20181206122332 ACCESSION NUMBER: 0000950103-18-014404 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181203 FILED AS OF DATE: 20181206 DATE AS OF CHANGE: 20181206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MacKenzie Iain CENTRAL INDEX KEY: 0001344017 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38102 FILM NUMBER: 181219808 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: 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 4 1 dp99331_4-mackenzie.xml FORM 4 X0306 4 2018-12-03 0 0001616533 SMART Global Holdings, Inc. SGH 0001344017 MacKenzie Iain C/O SMART MODULAR TECHNOLOGIES, INC. 39870 EUREKA DRIVE NEWARK CA 94560 1 0 0 0 Ordinary Shares 2018-12-03 4 M 0 29976 11.55 A 354949 D Ordinary Shares 2018-12-03 4 M 0 12609 22.74 A 367558 D Ordinary Shares 2018-12-03 4 M 0 9819 2.64 A 377377 D Ordinary Shares 2018-12-03 4 S 0 52404 35.03 D 324973 D Employee Stock Options (right to buy) 11.55 2018-12-03 4 M 0 29976 0 D 2026-05-23 Ordinary Shares 29976 41340 D Employee Stock Options (right to buy) 22.47 2018-12-03 4 M 0 12609 0 D 2019-10-26 Ordinary Shares 12609 2275 D Employee Stock Options (right to buy) 2.64 2018-12-03 4 M 0 9819 0 D 2020-09-27 Ordinary Shares 9819 0 D The transactions reported herein were effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on 12/27/17 as modified on 04/07/18 and 10/09/18. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $35.00 to $35.10. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. This option became exercisable on May 23, 2017 as to 50% of the award. The remainder became exercisable in equal quarterly installments through May 23, 2018. This option became exercisable during a period ending on October 31, 2015. This option became exercisable in monthly installments from October 28, 2010 through September 28, 2014. /s/ Bruce Goldberg as attorney-in-fact for Iain MacKenzie 2018-12-05