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