0000950103-18-002225.txt : 20180220 0000950103-18-002225.hdr.sgml : 20180220 20180220203205 ACCESSION NUMBER: 0000950103-18-002225 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180215 FILED AS OF DATE: 20180220 DATE AS OF CHANGE: 20180220 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: 18626748 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 dp86987_4-marten.xml FORM 4 X0306 4 2018-02-15 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 2018-02-15 4 M 0 8811 2.64 A 96477 D Ordinary Shares 2018-02-15 4 S 0 6789 32.62 D 89688 D Ordinary Shares 2018-02-15 4 S 0 1922 33.61 D 87766 D Ordinary Shares 2018-02-15 4 S 0 100 34.50 D 87666 D Employee Stock Option (right to buy) 2.64 2018-02-15 4 M 0 8811 2.64 D 2019-09-29 Common Stock 8811 15822 D The reported securities were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person on October 24, 2017. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $32.2 to $33.14, inclusive. 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 ranges set forth in footnotes (2) and (3) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.21 to $34.0, inclusive. Fully vested and exercisable. Total has been corrected from amount listed on Alan Marten Form 3 filed May 23, 2017. /s/ Bruce Goldberg as attorney-in-fact for Alan Marten 2018-02-20