0001140361-23-035920.txt : 20230724 0001140361-23-035920.hdr.sgml : 20230724 20230724201156 ACCESSION NUMBER: 0001140361-23-035920 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230720 FILED AS OF DATE: 20230724 DATE AS OF CHANGE: 20230724 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: 231106209 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 X0508 4 2023-07-20 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 2023-07-20 4 F 0 3136 26 D 202375 D Ordinary Shares 2023-07-20 4 M 0 2500 9.195 A 204875 D Ordinary Shares 2023-07-20 4 M 0 5000 10.78 A 209875 D Ordinary Shares 2023-07-20 4 S 0 7500 25.4803 D 202375 D Employee Stock Option (right to buy) 9.195 2023-07-20 4 M 0 2500 0 D 2030-03-12 Ordinary Shares 2500 97500 D Employee Stock Option (right to buy) 10.78 2023-07-20 4 M 0 5000 0 D 2029-01-22 Ordinary Shares 5000 65000 D Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted share units. No shares were sold. 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 $25.24 to $25.84. 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 vested and became exercisable over three years beginning January 1, 2020. /s/ Anne Kuykendall as attorney-in-fact for Jack A. Pacheco 2023-07-24