Filing Details
- Accession Number:
- 0000950103-18-008619
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-07-17 19:05:13
- Reporting Period:
- 2018-07-16
- Accepted Time:
- 2018-07-17 19:05:13
- 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 | Senior Vice President | 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 | 2018-07-16 | 4,000 | $11.55 | 91,666 | No | 4 | M | Direct | |
| Ordinary Shares | Acquisiton | 2018-07-16 | 4,000 | $2.64 | 95,666 | No | 4 | M | Direct | |
| Ordinary Shares | Disposition | 2018-07-16 | 4,832 | $31.11 | 90,834 | No | 4 | S | Direct | |
| Ordinary Shares | Disposition | 2018-07-16 | 3,168 | $31.62 | 87,666 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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 | 2018-07-16 | 4,000 | $0.00 | 4,000 | $11.55 |
| Ordinary Shares | Employee Stock Options (right to buy) | Disposition | 2018-07-16 | 4,000 | $0.00 | 4,000 | $2.64 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 92,922 | 2026-05-23 | No | 4 | M | Direct | |
| 0 | 2020-09-27 | No | 4 | M | Direct |
Footnotes
- The sales were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/24/2017 and modified on 4/17/2018.
- The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $30.46 to $31.44. 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 such range.
- The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $31.46 to $31.81. 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 such range.
- Fully vested and exercisable.
- Fully vested and exercisable.
Billionaire Hedge Funds
