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