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