0001140361-23-030087.txt : 20230615 0001140361-23-030087.hdr.sgml : 20230615 20230615164520 ACCESSION NUMBER: 0001140361-23-030087 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230613 FILED AS OF DATE: 20230615 DATE AS OF CHANGE: 20230615 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: 231018036 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: 0826 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 form4.xml X0407 4 2023-06-13 0001616533 SMART Global Holdings, Inc. SGH 0001344018 Pacheco Jack A C/O SMART GLOBAL HOLDINGS, INC. 39870 EUREKA DRIVE NEWARK CA 94560 true EVP, COO, Pres, Mem Solutions true Ordinary Shares 2023-06-13 4 M 0 10000 9.195 A 215511 D Ordinary Shares 2023-06-13 4 M 0 5000 10.78 A 220511 D Ordinary Shares 2023-06-13 4 S 0 15000 25.0004 D 205511 D Employee Stock Option (right to buy) 9.195 2023-06-13 4 M 0 10000 0 D 2030-03-12 Ordinary Shares 10000 102500 D Employee Stock Option (right to buy) 10.78 2023-06-13 4 M 0 5000 0 D 2029-01-22 Ordinary Shares 5000 75000 D The transactions reported herein were effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on January 13, 2023. This transaction was executed in multiple trades at prices ranging from $25.00 to $25.01. 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. The option vested and became exercisable as to 25% on March 12, 2021, and the remaining shares vest monthly and become exercisable over three years beginning March 12, 2021. The option vested and became exercisable as to 25% on January 1, 2020, and the remaining shares vest monthly and become exercisable over three years beginning January 1, 2020. On February 1, 2022, the Issuer paid a share dividend of one (1) ordinary share for every one (1) ordinary share owned to shareholders of record as of January 25, 2022. The numbers in this Form 4 have been adjusted for the share dividend, which was exempt from Section 16 of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16a-9 thereunder. /s/ Anne Kuykendall as attorney-in-fact for Jack A. Pacheco 2023-06-15