0000950103-20-017338.txt : 20200902 0000950103-20-017338.hdr.sgml : 20200902 20200902161417 ACCESSION NUMBER: 0000950103-20-017338 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200831 FILED AS OF DATE: 20200902 DATE AS OF CHANGE: 20200902 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Adams Mark CENTRAL INDEX KEY: 0001349123 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38102 FILM NUMBER: 201157080 MAIL ADDRESS: STREET 1: 834 TERRACE DRIVE CITY: LOS ALTOS STATE: CA ZIP: 94024 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 dp136012_4-adams.xml FORM 4 X0306 4 2020-08-31 0 0001616533 SMART Global Holdings, Inc. SGH 0001349123 Adams Mark C/O SMART GLOBAL HOLDINGS, INC. 39870 EUREKA DRIVE NEWARK CA 94560 0 1 0 0 President and CEO Ordinary Shares 2020-08-31 4 A 0 225000 0 A 225000 D Ordinary Shares 2020-08-31 4 A 0 125000 0 A 350000 D Ordinary Shares 2020-08-31 4 A 0 125000 0 A 475000 D Represents a grant of 225,000 restricted ordinary shares with restrictions generally lapsing and shares vesting over a period of approximately four years, subject to continued employment as CEO through each vesting date, with (x) 25% vesting on October 20, 2021 and (y) the remainder vesting in approximately equal quarterly installments thereafter. Represents a grant of 125,000 restricted ordinary shares with restrictions generally lapsing and shares vesting in four equal tranches of 25% on October 20, 2021 and each of the first three anniversaries of that date, subject to (x) continued employment as CEO through each vesting date, and (y) the closing price of an ordinary share of SMART Global Holdings, Inc. ("SMART") equaling or exceeding 150% of the closing price of an ordinary share of SMART on the grant date for at least 60 consecutive trading days at any time during the one-year period preceding (i) that vesting date or (ii) any subsequent annual vesting date. Represents a grant of 125,000 restricted ordinary shares with restrictions generally lapsing and shares vesting in four equal tranches of 25% on October 20, 2021 and each of the first three anniversaries of that date, subject to (x) continued employment as CEO through each vesting date, and (y) the closing price of an ordinary share of SMART equaling or exceeding 200% of the closing price of an ordinary share of SMART on the grant date for at least 60 consecutive trading days at any time during the one-year period preceding (i) that vesting date or (ii) any subsequent annual vesting date. /s/ Bruce Goldberg as attorney-in-fact for Mark Adams 2020-09-02