0000950103-18-003502.txt : 20180319
0000950103-18-003502.hdr.sgml : 20180319
20180319192208
ACCESSION NUMBER: 0000950103-18-003502
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180315
FILED AS OF DATE: 20180319
DATE AS OF CHANGE: 20180319
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: 18700294
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
dp88311_4-marten.xml
FORM 4
X0306
4
2018-03-15
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
2018-03-15
4
M
0
8500
41.5741
A
96166
D
Ordinary Shares
2018-03-15
4
S
0
2206
40.6786
D
93960
D
Ordinary Shares
2018-03-15
4
S
0
4499
41.7083
D
89461
D
Ordinary Shares
2018-03-15
4
S
0
1795
42.3385
D
87666
D
Employee Stock Options (right to buy)
2.64
2018-03-15
4
M
0
8500
0
D
2019-09-29
Ordinary Shares
8500
16133
D
Shares sold pursuant to a previously established Rule 10b5-1 Plan.
The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions within a one dollar price range, ranging in the aggregate from $40.10 to $42.58. 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 footnote (2) to this Form 4
Fully vested and exercisable.
Amount reflects correction of prior Form 4 filed on February 15, 2018, which inadvertently reported such exercise and sale as occurring with respect to this option but which was instead with respect to an option on 8,811 shares at the same strike price, but with an expiration date of 9/23/2018 (which was incorrectly reported on the reporting person's Form 3 as being with respect to 26,666 shares).
/s/ Bruce Goldberg as attorney-in-fact for Alan Marten
2018-03-19