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