0000950103-18-000202.txt : 20180105 0000950103-18-000202.hdr.sgml : 20180105 20180105173931 ACCESSION NUMBER: 0000950103-18-000202 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180103 FILED AS OF DATE: 20180105 DATE AS OF CHANGE: 20180105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kim KiWan CENTRAL INDEX KEY: 0001707037 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38102 FILM NUMBER: 18514377 MAIL ADDRESS: STREET 1: C/O SMART GLOBAL HOLDINGS, INC. STREET 2: 39870 EUREKA DRIVE CITY: NEWARK STATE: CA ZIP: 94560 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 dp84942_4-kiwan.xml FORM 4 X0306 4 2018-01-03 0 0001616533 SMART Global Holdings, Inc. SGH 0001707037 Kim KiWan C/O SMART MODULAR TECHNOLOGIES, INC. 39870 EUREKA DRIVE NEWARK CA 94560 0 1 0 0 SVP of EM & Pres. Brazil Ordinary Shares 2018-01-03 4 M 0 15047 11.55 A 133000 D Ordinary Shares 2018-01-03 4 S 0 15047 35.67 D 117953 D Ordinary Shares 2018-01-04 4 M 0 14698 11.55 A 132651 D Ordinary Shares 2018-01-04 4 S 0 14698 35.27 D 117953 D Ordinary Shares 2018-01-05 4 S 0 8557 35.05 D 109396 D Ordinary Shares 2018-01-05 4 S 0 14533 36.25 D 94863 D Employee Stock Options (right to buy) 11.55 2018-01-03 4 M 0 15047 0 D 2026-05-23 Ordinary Shares 15047 24612 D Employee Stock Options (right to buy) 11.55 2018-01-04 4 M 0 14698 0 D 2026-05-23 Ordinary Shares 14698 9914 D Includes restricted stock units. Shares sold pursuant to a previously established Rule 10b5-1 Plan. This is a weighted average sale price. Shares reported in each line item were sold in multiple transactions at prices in the following ranges, respectively: from $35.20 to $36.23; from $34.82 to $35.59; from $34.59 to $35.57; and from $35.67 to $36.58. 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 the foregoing ranges. The original option vested 50% in May 2017 with the remainder vesting quarterly through May 2018. This option aggregates the reporting of three line items on the reporting person's original Form 3 with the same grant date and exercise price, and there are no other outstanding options held by the reporting person. /s/ Bruce Goldberg as attorney-in-fact for KiWan Kim 2018-01-05