Filing Details
- Accession Number:
- 0000950103-18-003608
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-03-21 15:38:34
- Reporting Period:
- 2018-03-19
- Accepted Time:
- 2018-03-21 15:38:34
- 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 |
|---|---|---|---|---|---|---|---|
| 1005688 | M Bruce Goldberg | C/O Smart Modular Technologies, Inc. 39870 Eureka Drive Newark CA 94560 | Vp, Chief Legal 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 | 2018-03-19 | 2,500 | $2.64 | 13,391 | No | 4 | M | Direct | |
| Ordinary Shares | Disposition | 2018-03-19 | 1,300 | $41.99 | 12,091 | No | 4 | S | Direct | |
| Ordinary Shares | Disposition | 2018-03-19 | 300 | $42.82 | 11,791 | No | 4 | S | Direct | |
| Ordinary Shares | Disposition | 2018-03-19 | 200 | $43.98 | 11,591 | No | 4 | S | Direct | |
| Ordinary Shares | Disposition | 2018-03-19 | 600 | $45.31 | 10,991 | No | 4 | S | Direct | |
| Ordinary Shares | Disposition | 2018-03-19 | 100 | $45.69 | 10,891 | 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 | |
| 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 | 2018-03-19 | 2,500 | $0.00 | 2,500 | $2.64 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 9,166 | 2019-08-24 | No | 4 | M | Direct |
Footnotes
- The sales were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017.
- The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $41.37 to $45.69. 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
- The original option vested and became exercisable 50% in May 2017 with the remainder vesting quarterly through May 2018.
- The reporting person's Form 4 filed on 2/27/18 incorrectly reported the expiration date of this option as 02/05/2024.
Billionaire Hedge Funds
