0000950103-18-008619.txt : 20180717 0000950103-18-008619.hdr.sgml : 20180717 20180717190513 ACCESSION NUMBER: 0000950103-18-008619 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180716 FILED AS OF DATE: 20180717 DATE AS OF CHANGE: 20180717 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: 18957429 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 dp93492_4-marten.xml FORM 4 X0306 4 2018-07-16 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 Senior Vice President Ordinary Shares 2018-07-16 4 M 0 4000 11.55 A 91666 D Ordinary Shares 2018-07-16 4 M 0 4000 2.64 A 95666 D Ordinary Shares 2018-07-16 4 S 0 4832 31.11 D 90834 D Ordinary Shares 2018-07-16 4 S 0 3168 31.62 D 87666 D Employee Stock Options (right to buy) 11.55 2018-07-16 4 M 0 4000 0 D 2026-05-23 Ordinary Shares 4000 92922 D Employee Stock Options (right to buy) 2.64 2018-07-16 4 M 0 4000 0 D 2020-09-27 Ordinary Shares 4000 0 D The sales were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/24/2017 and modified on 4/17/2018. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $30.46 to $31.44. 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 $31.46 to $31.81. 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. Fully vested and exercisable. /s/ Bruce Goldberg as attorney-in-fact for Alan Marten 2018-07-17