0000950103-18-009750.txt : 20180817
0000950103-18-009750.hdr.sgml : 20180817
20180817140320
ACCESSION NUMBER: 0000950103-18-009750
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180815
FILED AS OF DATE: 20180817
DATE AS OF CHANGE: 20180817
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: 181025461
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
dp94639-marten.xml
FORM 4
X0306
4
2018-08-15
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
Senior Vice President
Ordinary Shares
2018-08-15
4
M
0
8800
11.55
A
106466
D
Ordinary Shares
2018-08-15
4
S
0
7500
28.95
D
98966
D
Ordinary Shares
2018-08-15
4
S
0
500
29.82
D
98466
D
Ordinary Shares
2018-08-15
4
S
0
800
30.62
D
97666
D
Employee Stock Options (right to buy)
11.55
2018-08-15
4
M
0
8800
0
D
2026-05-23
Ordinary Shares
8800
84122
D
The transactions reported herein were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/24/2017 and modified on 4/17/2018.
Includes 10,000 Ordinary Shares beneficially owned by the reporting person that were reported in the reporting person's Form 4 filing on 6/14/2018 but were inadvertently omitted from the reporting person's Form 4 filings on 6/19/2018 and 7/17/2018.
The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $28.42 to $29.33. 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 $29.43 to $30.25. 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 $30.50 to $30.70. 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
2018-08-16