Filing Details
- Accession Number:
- 0000950103-18-014404
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-12-06 12:23:32
- Reporting Period:
- 2018-12-03
- Accepted Time:
- 2018-12-06 12:23:32
- 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 |
|---|---|---|---|---|---|---|---|
| 1344017 | Iain Mackenzie | C/O Smart Modular Technologies, Inc. 39870 Eureka Drive Newark CA 94560 | Yes | No | 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 | 2018-12-03 | 29,976 | $11.55 | 354,949 | No | 4 | M | Direct | |
| Ordinary Shares | Acquisiton | 2018-12-03 | 12,609 | $22.74 | 367,558 | No | 4 | M | Direct | |
| Ordinary Shares | Acquisiton | 2018-12-03 | 9,819 | $2.64 | 377,377 | No | 4 | M | Direct | |
| Ordinary Shares | Disposition | 2018-12-03 | 52,404 | $35.03 | 324,973 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | 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 | 2018-12-03 | 29,976 | $0.00 | 29,976 | $11.55 |
| Ordinary Shares | Employee Stock Options (right to buy) | Disposition | 2018-12-03 | 12,609 | $0.00 | 12,609 | $22.47 |
| Ordinary Shares | Employee Stock Options (right to buy) | Disposition | 2018-12-03 | 9,819 | $0.00 | 9,819 | $2.64 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 41,340 | 2026-05-23 | No | 4 | M | Direct | |
| 2,275 | 2019-10-26 | No | 4 | M | Direct | |
| 0 | 2020-09-27 | No | 4 | M | Direct |
Footnotes
- The transactions reported herein were effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on 12/27/17 as modified on 04/07/18 and 10/09/18.
- The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $35.00 to $35.10. 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.
- This option became exercisable on May 23, 2017 as to 50% of the award. The remainder became exercisable in equal quarterly installments through May 23, 2018.
- This option became exercisable during a period ending on October 31, 2015.
- This option became exercisable in monthly installments from October 28, 2010 through September 28, 2014.
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