S-8 1 dp95816_s8.htm FORM S-8

 

As filed with the Securities and Exchange Commission on September 20, 2018

 

Registration No. 333-

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 _____________________

 

FORM S-8

 REGISTRATION STATEMENT UNDER

THE SECURITIES ACT OF 1933

 

  _____________________

 

SMART GLOBAL HOLDINGS, INC.

(Exact Name of Registrant as Specified in its Charter)

 

Cayman Islands 3674 98-1013909
(State or Other Jurisdiction of 
Incorporation or Organization)
(Primary Standard Industrial Classification Code Number) (I.R.S. Employer 
Identification No.)
 

c/o Maples Corporate Services Limited

P.O. Box 309

Ugland House

Grand Cayman

KY1-1104

Cayman Islands

 
(Address of Principal Executive Offices)
  _____________________

 

SMART Global Holdings, Inc. Amended and Restated 2017 Share Incentive Plan

SMART Global Holdings, Inc. 2018 Employee Share Purchase Plan

(Full Title of the Plan)

     
 

Bruce Goldberg

Vice President, Chief Legal Officer and Chief Compliance Officer

SMART Global Holdings, Inc.

c/o 39870 Eureka Drive

Newark, CA 94560

 

(Name and address of agent for service)

     
  (510) 623-1231  
(Telephone Number, Including Area Code, of Agents for Service)

    _____________________

 

 With copies to:

Alan F. Denenberg

Davis Polk & Wardwell LLP

1600 El Camino Real

Menlo Park, CA 94025

Telephone: (650) 752-2004

Facsimile: (650) 752-3604

 

Bruce Goldberg

Vice President, Chief Legal Officer and Chief Compliance Officer

SMART Global Holdings, Inc.

39870 Eureka Drive

Newark, CA 94560

Telephone: (510) 624-8159

   _____________________

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer”, “smaller reporting company” and “emerging growth company” in Rule 12b-2 of the Exchange Act.

 

Large accelerated filer  Accelerated filer 
Non-accelerated filer  (Do not check if a smaller reporting company) Smaller reporting company 
  Emerging growth company 

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. ☐

 

CALCULATION OF REGISTRATION FEE

Title of Each Class of Securities to Be Registered Amount to Be Registered(1) Proposed Maximum Offering Price Per Share(2) Proposed Maximum Aggregate Offering Price Amount of Registration Fee(3)
Ordinary shares, $0.03 par value per share, to be issued under the SMART Global Holdings, Inc. Amended and Restated 2017 Share Incentive Plan 561,998 $29.77 $16,730,680.46 $2,082.97
Ordinary shares, $0.03 par value per share, to be issued under the SMART Global Holdings, Inc. 2018 Employee Share Purchase Plan 300,000 $29.77 $8,931,000 $1,111.91
Total 861,998  $29.77 $25,661,680.46  $3,194.88

 

(1) In the event of a stock split, stock dividend or similar transaction involving the Registrant’s ordinary shares, $0.03 par value per share, the number of shares registered hereby shall automatically be adjusted in accordance with Rule 416 under the Securities Act of 1933, as amended (the “Securities Act”).
(2) Estimated in accordance with Rules 457(c) and (h) solely for the purpose of calculating the registration fee on the basis of the average of the high and low prices of the Registrant’s ordinary shares on September 19, 2018.
(3) Rounded to the nearest cent.

 

 

 

 

REGISTRATION OF ADDITIONAL SHARES PURSUANT TO GENERAL INSTRUCTION E

 

Pursuant to General Instruction E of Form S-8, SMART Global Holdings, Inc. (the “Company”) is filing this Registration Statement with the Securities and Exchange Commission (the “SEC”) to register additional ordinary shares under the Registrant's Amended and Restated 2017 Share Incentive Plan and 2018 Employee Share Purchase Plan, pursuant to the provisions of such plans providing for an annual increase in the number of shares reserved for issuance thereunder. This Registration Statement hereby incorporates by reference the contents of the Registrant's registration statements on Form S-8 filed with the SEC on June 8, 2017 (Registration No. 333-218605), November 13, 2017 (Registration No. 333-221534) and March 23, 2018 (Registration No. 333-223880).

 

PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT

 

Item 8. Exhibits.

 

Exhibit Number

 
5.1* Opinion of Maples and Calder
   
23.1* Consent of Independent Registered Public Accounting Firm of SMART Global Holdings, Inc.
   
23.2* Consent of Independent Auditors of Penguin Computing, Inc.
   
23.3* Consent of Maples and Calder (included in Exhibit 5.1)
   
24.1* Power of Attorney (included on the signature page of this Registration Statement)
   
99.1 SMART Global Holdings, Inc. Amended and Restated 2017 Share Incentive Plan (1)
   
99.2 SMART Global Holdings, Inc. 2018 Employee Share Purchase Plan (2)

___________

 

*Filed herewith.

(1)Filed as Exhibit 10.23 to the Registrant’s Amendment No. 2 to Registration Statement on Form S-1, filed on May 22, 2017 and incorporated herein by reference.
(2)Incorporated by reference to Appendix A to the Registrant’s Definitive Proxy Statement on Schedule 14A, filed on December 15, 2017.

 

 

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Act of 1933, as amended, the Registrant, SMART Global Holdings, Inc., certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Newark, State of California, on the 20th day of September, 2018.

 

  SMART Global Holdings, Inc.
   
   
  By:     /s/ Jack Pacheco
    Name:     Jack Pacheco
    Title: Executive Vice President and Chief Financial Officer

 

 

 

 

POWER OF ATTORNEY AND SIGNATURES

 

Know all persons by these presents, that each person whose signature appears below, constitutes and appoints each of Ajay Shah, Jack Pacheco and Bruce Goldberg as his or her true and lawful attorney-in-fact and agent, upon the action of such appointee, with full power of substitution and resubstitution, to do any and all acts and things and execute, in the name of the undersigned, any and all instruments which each of said attorneys-in-fact and agents may deem necessary or advisable in order to enable SMART Global Holdings, Inc. to comply with the Securities Act, and any requirements of the Commission in respect thereof, in connection with the filing with the Commission of this Registration Statement under the Securities Act, including specifically but without limitation, power and authority to sign the name of the undersigned to such Registration Statement, and any amendments to such Registration Statement (including post-effective amendments), and to file the same with all exhibits thereto and other documents in connection therewith, with the Commission, to sign any and all applications, registration statements, notices or other documents necessary or advisable to comply with applicable state securities laws, and to file the same, together with other documents in connection therewith with the appropriate state securities authorities, granting unto each of said attorneys-in-fact and agents full power and authority to do and to perform each and every act and thing requisite or necessary to be done in and about the premises, as fully and to all intents and purposes as the undersigned might or could do in person, hereby ratifying and confirming all that each of said attorneys-in-fact and agents may lawfully do or cause to be done by virtue hereof.

 

Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed by the following persons in the capacities and on the dates indicated:

 

Signature Title Date
     

/s/ Ajay Shah

Chief Executive Officer (Principal Executive Officer and Director) September 20, 2018
Ajay Shah    
     

/s/ Jack Pacheco

Chief Financial Officer (Principal Financial and Accounting Officer) September 20, 2018
Jack Pacheco    
     

/s/ Randy Furr

Director September 20, 2018
Randy Furr    
     

/s/ Kenneth Hao

Director September 20, 2018
Kenneth Hao    
     
/s/ Iain MacKenzie Director September 20, 2018
Iain MacKenzie    
     

/s/ Paul Mercadante

Director September 20, 2018
Paul Mercadante    
     

/s/ Jason White

Director September 20, 2018
Jason White    
     

/s/ Mukesh Patel

Director September 20, 2018
Mukesh Patel    
     

/s/ Sandeep Nayyar

Director September 20, 2018
Sandeep Nayyar