Filing Details
- Accession Number:
- 0001209191-11-022258
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-04-07 21:25:14
- Reporting Period:
- 2011-04-05
- Filing Date:
- 2011-04-07
- Accepted Time:
- 2011-04-07 21:25:14
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1326973 | Smart Modular Technologies (Wwh) Inc. | SMOD | Semiconductors & Related Devices (3674) | 202509518 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1344017 | Iain Mackenzie | C/O: Smart Modular Technologies 39870 Eureka Dr. Newark CA 94560 | President & Ceo | Yes | 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 |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2011-04-05 | 9,500 | $0.17 | 9,500 | No | 4 | M | Indirect | Trust |
Common Stock | Disposition | 2011-04-05 | 9,500 | $8.00 | 0 | No | 4 | S | Indirect | Trust |
Common Stock | Acquisiton | 2011-04-05 | 9,500 | $0.17 | 9,500 | No | 4 | M | Indirect | Trust |
Common Stock | Disposition | 2011-04-05 | 9,500 | $8.00 | 0 | No | 4 | S | Indirect | Trust |
Common Stock | Acquisiton | 2011-04-05 | 50,000 | $0.17 | 332,038 | No | 4 | M | Direct | |
Common Stock | Disposition | 2011-04-05 | 50,000 | $8.00 | 282,038 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Indirect | Trust |
No | 4 | S | Indirect | Trust |
No | 4 | M | Indirect | Trust |
No | 4 | S | Indirect | Trust |
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option (Right to buy) | Disposition | 2011-04-05 | 9,500 | $0.00 | 9,500 | $0.17 |
Common Stock | Stock Option (Right to buy) | Disposition | 2011-04-05 | 9,500 | $0.00 | 9,500 | $0.17 |
Common Stock | Stock Option (Right to buy) | Disposition | 2011-04-05 | 50,000 | $0.00 | 50,000 | $0.17 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
25,281 | 2008-06-17 | 2014-06-16 | No | 4 | M | Indirect |
25,281 | 2008-06-17 | 2014-06-16 | No | 4 | M | Indirect |
432,380 | 2011-06-17 | 2014-06-16 | No | 4 | M | Direct |
Footnotes
- Also referred to as ordinary shares.
- The option exercises and sales reported in this Form 4 were effected pursuant to a 10b5-1 plan adopted by the reporting person on March 31, 2010.
- Represents securities held by a family trust created by the reporting person for the benefit of his child. The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
- Represents securities held by a family trust created by the reporting person's wife for the benefit of their child. The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
- Represents 133,377 ordinary shares held and 148,661 time-based and performance based RSUs. The reporting person disclaims beneficial ownership of such options except to the extent of his pecuniary interest therein.
- A grant of a performance unit in September 2008 was previously voluntarily reported in Table I. These units were forfeited for no value because performance conditions were not met. Therefore, the total number of securities reported as beneficially owned has been decreased by 100,000 shares, which is reflected in this Form 4.
- Reflects the transfer of 3,442 options from the reporting person's family trust to the reporting person in an exempt transaction.
- Reflects the transfer of 3,442 options from the family trust set up by the reporting person's wife to the reporting person's wife in an exempt transaction.