0000950103-21-004174.txt : 20210317 0000950103-21-004174.hdr.sgml : 20210317 20210317173131 ACCESSION NUMBER: 0000950103-21-004174 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210315 FILED AS OF DATE: 20210317 DATE AS OF CHANGE: 20210317 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: 21751752 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: 0828 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 dp147957_4-marten.xml FORM 4 X0306 4 2021-03-15 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 2021-03-15 4 M 0 3250 11.55 A 118916 D Ordinary Shares 2021-03-15 4 S 0 3250 45.9518 D 115666 D Employee Stock Options (right to buy) 11.55 2021-03-15 4 M 0 3250 0 D 2026-05-23 Ordinary Shares 3250 39630 D This transaction was executed in multiple trades at prices ranging from $45.63 to $46.22. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Fully vested and exercisable. The transactions reported herein were effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on 10/29/2020. /s/ Bruce Goldberg, as attorney-in-fact for Alan Marten 2021-03-17