Filing Details

Accession Number:
0000950103-18-000202
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-01-05 17:39:31
Reporting Period:
2018-01-03
Accepted Time:
2018-01-05 17:39:31
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1616533 Smart Global Holdings Inc. SGH Semiconductors & Related Devices (3674) 981013909
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1707037 Kiwan Kim C/O Smart Modular Technologies, Inc.
39870 Eureka Drive
Newark CA 94560
Svp Of Em & Pres. Brazil 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 2018-01-03 15,047 $11.55 133,000 No 4 M Direct
Ordinary Shares Disposition 2018-01-03 15,047 $35.67 117,953 No 4 S Direct
Ordinary Shares Acquisiton 2018-01-04 14,698 $11.55 132,651 No 4 M Direct
Ordinary Shares Disposition 2018-01-04 14,698 $35.27 117,953 No 4 S Direct
Ordinary Shares Disposition 2018-01-05 8,557 $35.05 109,396 No 4 S Direct
Ordinary Shares Disposition 2018-01-05 14,533 $36.25 94,863 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S 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 2018-01-03 15,047 $0.00 15,047 $11.55
Ordinary Shares Employee Stock Options (right to buy) Disposition 2018-01-04 14,698 $0.00 14,698 $11.55
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
24,612 2026-05-23 No 4 M Direct
9,914 2026-05-23 No 4 M Direct
Footnotes
  1. Includes restricted stock units.
  2. Shares sold pursuant to a previously established Rule 10b5-1 Plan.
  3. 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.
  4. 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.