0000950103-18-006282.txt : 20180517
0000950103-18-006282.hdr.sgml : 20180517
20180517204857
ACCESSION NUMBER: 0000950103-18-006282
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180515
FILED AS OF DATE: 20180517
DATE AS OF CHANGE: 20180517
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: 18844847
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
dp91109_4-marten.xml
FORM 4
X0306
4
2018-05-15
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
2018-05-15
4
M
0
7633
2.64
A
95299
D
Ordinary Shares
2018-05-15
4
M
0
8000
2.64
A
103299
D
Ordinary Shares
2018-05-15
4
S
0
6953
44.96
D
96346
D
Ordinary Shares
2018-05-15
4
S
0
8680
45.81
D
87666
D
Employee Stock Options (right to buy)
2.64
2018-05-15
4
M
0
7633
0
D
2019-09-29
Ordinary Shares
7633
0
D
Employee Stock Options (right to buy)
2.64
2018-05-15
4
M
0
8000
0
D
2020-09-27
Ordinary Shares
8000
12000
D
The sales were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/24/2017.
The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $44.38 to $45.35. 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 such range.
The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $45.38 to $46.34. 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 such range.
Fully vested and exercisable.
/s/ Bruce Goldberg as attorney-in-fact for Alan Marten
2018-05-17