0001140361-23-033799.txt : 20230707
0001140361-23-033799.hdr.sgml : 20230707
20230707190251
ACCESSION NUMBER: 0001140361-23-033799
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230705
FILED AS OF DATE: 20230707
DATE AS OF CHANGE: 20230707
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: 231077967
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: 0826
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
form4.xml
X0407
4
2023-07-05
0001616533
SMART Global Holdings, Inc.
SGH
0001349123
Adams Mark
C/O SMART GLOBAL HOLDINGS, INC.
39870 EUREKA DRIVE
NEWARK
CA
94560
true
true
President and CEO
false
Ordinary Shares
2023-07-05
4
M
0
343750
13.495
A
1158795
D
Ordinary Shares
2023-07-05
4
F
0
256867
27.06
D
901928
D
Ordinary Shares
19640
I
The Adams Family Trust
Employee Stock Option (right to buy)
13.495
2023-07-05
4
M
0
343750
0
D
2030-09-28
Ordinary Shares
343750
156250
D
Reflects ordinary shares acquired by the Reporting Person through the cashless exercise of an option to acquire 343,750 ordinary shares, pursuant to which 256,867 ordinary shares were withheld by the Issuer on the date of exercise to pay the exercise price and tax withholding obligations, resulting in 86,883 ordinary shares being issued to the Reporting Person on a net basis. No shares were sold.
The option will generally vest and become exercisable over a period of four years, subject to continued employment as CEO through each vesting date, with (i) 25% having vested and become exercisable on September 28, 2021 and (ii) the remainder vesting and becoming exercisable in equal monthly installments over the next three years.
On February 1, 2022, the Issuer paid a share dividend of one (1) ordinary share for every one (1) ordinary share owned to shareholders of record as of January 25, 2022. The numbers in this Form 4 have been adjusted for the share dividend, which was exempt from Section 16 of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16a-9 thereunder.
/s/ Anne Kuykendall as attorney-in-fact for Mark Adams
2023-07-07