0000950103-18-000583.txt : 20180118 0000950103-18-000583.hdr.sgml : 20180118 20180118183402 ACCESSION NUMBER: 0000950103-18-000583 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180116 FILED AS OF DATE: 20180118 DATE AS OF CHANGE: 20180118 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Marten Alan CENTRAL INDEX KEY: 0001344019 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38102 FILM NUMBER: 18535060 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: 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 dp85290_4-marten.xml FORM 4 X0306 4 2018-01-16 0 0001616533 SMART Global Holdings, Inc. SGH 0001344019 Marten Alan C/O SMART MODULAR TECHNOLOGIES, INC. 39870 EUREKA DRIVE NEWARK CA 94560 0 1 0 0 Sr. VP, Chief Strategy Officer Ordinary Shares 2018-01-16 4 M 0 8700 2.64 A 96366 D Ordinary Shares 2018-01-16 4 S 0 7700 35.63 D 88666 D Ordinary Shares 2018-01-16 4 S 0 1000 36.44 D 87666 D Employee Stock Option (right to buy) 2.64 2018-01-16 4 M 0 8700 2.64 D 2019-09-29 Common Stock 8700 24633 D Shares sold pursuant to a previously established Rule 10b5-1 Plan. This is a weighted average sale price. Shares reported in each line item were sold in multiple transactions at prices in the following ranges, respectively: from $35.13 to $36.01 and from $36.13 to $36.87. 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 the foregoing ranges. Includes restricted stock units. Fully vested and exercisable. /s/ Bruce Goldberg as attorney-in-fact for Alan Marten 2018-01-18