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