Filing Details
- Accession Number:
- 0001209191-11-025447
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-05-02 18:46:58
- Reporting Period:
- 2011-04-28
- Filing Date:
- 2011-05-02
- Accepted Time:
- 2011-05-02 18:46:58
- 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 |
|---|---|---|---|---|---|---|---|
| 1356446 | H John Moyer | C/O Smart Modular Technologies, Inc. 39870 Eureka Dr. Newark CA 94560 | Vp - Human Resources | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2011-04-28 | 32,000 | $2.84 | 77,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-04-28 | 32,000 | $9.20 | 45,000 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-04-28 | 10,000 | $9.20 | 35,000 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-04-29 | 19,666 | $2.84 | 54,666 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-04-29 | 15,833 | $5.20 | 70,499 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-04-29 | 4,812 | $6.26 | 75,311 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-04-29 | 40,311 | $9.15 | 35,000 | 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 | 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 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2011-04-28 | 32,000 | $0.00 | 32,000 | $2.84 |
| Common Stock | Stock Option (right to buy) | Disposition | 2011-04-29 | 19,666 | $0.00 | 19,666 | $2.84 |
| Common Stock | Stock Option (right to buy) | Disposition | 2011-04-29 | 15,833 | $0.00 | 15,833 | $5.20 |
| Common Stock | Stock Option (right to buy) | Disposition | 2011-04-29 | 4,812 | $0.00 | 4,812 | $6.26 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 48,000 | 2018-09-22 | No | 4 | M | Direct | |
| 28,334 | 2018-09-22 | No | 4 | M | Direct | |
| 24,167 | 2019-09-28 | No | 4 | M | Direct | |
| 28,188 | 2020-09-27 | No | 4 | M | Direct |
Footnotes
- Also referred to as ordinary shares
- 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 40,000 shares, which is reflected on this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.1400 to $9.1501, inclusive. 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 specified range
- The option becomes exercisable in 48 equal monthly installments beginning October 23, 2008
- The option becomes exercisable in 48 equal monthly installments beginning October 29, 2009
- The option becomes exercisable in 48 equal monthly installments beginning October 28, 2010
Billionaire Hedge Funds
