0000950103-21-002462.txt : 20210217 0000950103-21-002462.hdr.sgml : 20210217 20210217211724 ACCESSION NUMBER: 0000950103-21-002462 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210215 FILED AS OF DATE: 20210217 DATE AS OF CHANGE: 20210217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rizvi Ken CENTRAL INDEX KEY: 0001846472 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38102 FILM NUMBER: 21647402 MAIL ADDRESS: STREET 1: 39870 EUREKA DRIVE CITY: NEWARK STATE: CA ZIP: 94560-4809 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 dp146304_4-rizvi.xml FORM 4 X0306 4 2021-02-15 0 0001616533 SMART Global Holdings, Inc. SGH 0001846472 Rizvi Ken C/O SMART MODULAR TECHNOLOGIES, INC. 39870 EUREKA DRIVE NEWARK CA 94560-4809 0 1 0 0 SVP and CFO Ordinary Shares 2021-02-15 4 A 0 49857 0 A 49857 D Ordinary Shares 2021-02-15 4 A 0 4985 0 A 54842 D Ordinary Shares 2021-02-15 4 A 0 4985 0 A 59827 D Represents restricted share units ("RSUs") that will vest as to 25% on 4/20/2022, and the remaining RSUs will thereafter vest in equal quarterly installments over the subsequent three years. Represents a grant of 4,985 RSUs with restrictions generally lapsing and shares vesting in four equal tranches of 25% on April 20, 2022 and each of the first three anniversaries of that date, subject to (x) continued service through each vesting date, and (y) the closing price of an ordinary share of the Issuer, SMART Global Holdings, Inc. ("SMART") equaling or exceeding $70.76 (which is 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) the year preceding any subsequent annual vesting date if the price appreciation performance condition is not met in a prior year. Represents a grant of 4,985 RSUs with restrictions generally lapsing and shares vesting in four equal tranches of 25% on April 20, 2022 and each of the first three anniversaries of that date, subject to (x) continued service through each vesting date, and (y) the closing price of an ordinary share of SMART equaling or exceeding $94.34 (which is 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) the year preceding any subsequent annual vesting date if the price appreciation performance condition is not met in a prior year. /s/ Bruce Goldberg as attorney-in-fact for Ken Rizvi 2021-02-17