Filing Details

Accession Number:
0000950103-18-003502
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-03-19 19:22:08
Reporting Period:
2018-03-15
Accepted Time:
2018-03-19 19:22:08
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 2018-03-15 8,500 $41.57 96,166 No 4 M Direct
Ordinary Shares Disposition 2018-03-15 2,206 $40.68 93,960 No 4 S Direct
Ordinary Shares Disposition 2018-03-15 4,499 $41.71 89,461 No 4 S Direct
Ordinary Shares Disposition 2018-03-15 1,795 $42.34 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
Ordinary Shares Employee Stock Options (right to buy) Disposition 2018-03-15 8,500 $0.00 8,500 $2.64
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
16,133 2019-09-29 No 4 M Direct
Footnotes
  1. Shares sold pursuant to a previously established Rule 10b5-1 Plan.
  2. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions within a one dollar price range, ranging in the aggregate from $40.10 to $42.58. 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 ranges set forth in footnote (2) to this Form 4
  3. Fully vested and exercisable.
  4. Amount reflects correction of prior Form 4 filed on February 15, 2018, which inadvertently reported such exercise and sale as occurring with respect to this option but which was instead with respect to an option on 8,811 shares at the same strike price, but with an expiration date of 9/23/2018 (which was incorrectly reported on the reporting person's Form 3 as being with respect to 26,666 shares).