Filing Details
- Accession Number:
- 0000950103-18-002225
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-02-20 20:32:05
- Reporting Period:
- 2018-02-15
- Accepted Time:
- 2018-02-20 20:32:05
- 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 |
|---|---|---|---|---|---|---|---|
| 1344019 | Alan Marten | C/O Smart Modular Technologies, Inc. 39870 Eureka Drive Newark CA 94560 | Sr. Vp, Chief Strategy Officer | 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 | 2018-02-15 | 8,811 | $2.64 | 96,477 | No | 4 | M | Direct | |
| Ordinary Shares | Disposition | 2018-02-15 | 6,789 | $32.62 | 89,688 | No | 4 | S | Direct | |
| Ordinary Shares | Disposition | 2018-02-15 | 1,922 | $33.61 | 87,766 | No | 4 | S | Direct | |
| Ordinary Shares | Disposition | 2018-02-15 | 100 | $34.50 | 87,666 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2018-02-15 | 8,811 | $2.64 | 8,811 | $2.64 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 15,822 | 2019-09-29 | No | 4 | M | Direct |
Footnotes
- The reported securities were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person on October 24, 2017.
- The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $32.2 to $33.14, inclusive. 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 ranges set forth in footnotes (2) and (3) to this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.21 to $34.0, inclusive.
- Fully vested and exercisable.
- Total has been corrected from amount listed on Alan Marten Form 3 filed May 23, 2017.
Billionaire Hedge Funds
