Filing Details
- Accession Number:
- 0000950103-17-012677
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-12-21 18:27:41
- Reporting Period:
- 2017-12-19
- Accepted Time:
- 2017-12-21 18:27:41
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1616533 | Smart Global Holdings Inc. | SGH | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1344018 | A Jack Pacheco | C/O Smart Modular Technologies, Inc. 39870 Eureka Drive Newark CA 94560 | Executive Vp, Cfo, Coo | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Ordinary Shares | Acquisiton | 2017-12-19 | 24,000 | $0.00 | 128,743 | No | 4 | A | Direct | |
| Ordinary Shares | Acquisiton | 2017-12-21 | 7,500 | $11.55 | 136,243 | No | 4 | M | Direct | |
| Ordinary Shares | Disposition | 2017-12-21 | 6,000 | $30.93 | 130,243 | No | 4 | S | Direct | |
| Ordinary Shares | Disposition | 2017-12-21 | 1,500 | $31.57 | 128,743 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Ordinary Shares | Employee Stock Options (right to buy) | Disposition | 2017-12-21 | 7,500 | $0.00 | 7,500 | $11.55 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 75,753 | 2026-05-23 | No | 4 | M | Direct |
Footnotes
- Award of restricted stock units vests 25% in January 2019, with the remainder vesting in quarterly installments over the subsequent three-year period.
- 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 $30.31 to $31.29; and from $31.32 to $31.90. 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.
Billionaire Hedge Funds
