0000950103-21-007759.txt : 20210524 0000950103-21-007759.hdr.sgml : 20210524 20210524204535 ACCESSION NUMBER: 0000950103-21-007759 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210520 FILED AS OF DATE: 20210524 DATE AS OF CHANGE: 20210524 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pacheco Jack A CENTRAL INDEX KEY: 0001344018 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38102 FILM NUMBER: 21957060 MAIL ADDRESS: STREET 1: SMART MODULAR TECHNOLOGIES (WWH), INC. STREET 2: 4211 STARBOARD DRIVE CITY: FREMONT STATE: CA ZIP: 94538 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: 0827 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 dp151618_4-pacheco.xml FORM 4 X0306 4 2021-05-20 0 0001616533 SMART Global Holdings, Inc. SGH 0001344018 Pacheco Jack A C/O SMART GLOBAL HOLDINGS, INC. 39870 EUREKA DRIVE NEWARK CA 94560 0 1 0 0 EVP, COO, Pres SMART Mem Ordinary Shares 2021-05-20 4 M 0 7500 21.55 A 98652 D Ordinary Shares 2021-05-20 4 S 0 6300 45.0849 D 92352 D Ordinary Shares 2021-05-20 4 S 0 1200 45.5804 D 91152 D Employee Stock Option (right to buy) 21.55 2021-05-20 4 M 0 7500 0 D 2029-01-22 Ordinary Shares 7500 62500 D The transaction reported herein was effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person. This transaction was executed in multiple trades at prices ranging from $44.53 to $45.52. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $45.53 to $45.63. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. 25% of the option vested and became exercisable on 1/22/2020, and the remaining shares vest monthly over three years thereafter. /s/ Anne Kuykendall as attorney-in-fact for Jack A. Pacheco 2021-05-24