0001628280-24-004552.txt : 20240213 0001628280-24-004552.hdr.sgml : 20240213 20240213173748 ACCESSION NUMBER: 0001628280-24-004552 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240209 FILED AS OF DATE: 20240213 DATE AS OF CHANGE: 20240213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HERSCHER PENNY CENTRAL INDEX KEY: 0001232019 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38102 FILM NUMBER: 24630377 MAIL ADDRESS: STREET 1: 1001 RIDDER PARK DRIVE CITY: SAN JOSE STATE: CA ZIP: 95131 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SMART Global Holdings, Inc. CENTRAL INDEX KEY: 0001616533 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] ORGANIZATION NAME: 04 Manufacturing IRS NUMBER: 981013909 STATE OF INCORPORATION: E9 FISCAL YEAR END: 0826 BUSINESS ADDRESS: STREET 1: 39870 EUREKA DRIVE CITY: NEWARK STATE: CA ZIP: 94560-4809 BUSINESS PHONE: (510) 623-1231 MAIL ADDRESS: STREET 1: 39870 EUREKA DRIVE CITY: NEWARK STATE: CA ZIP: 94560-4809 4 1 wk-form4_1707863854.xml FORM 4 X0508 4 2024-02-09 0 0001616533 SMART Global Holdings, Inc. SGH 0001232019 HERSCHER PENNY C/O SMART GLOBAL HOLDINGS, INC. 39870 EUREKA DRIVE NEWARK CA 95134 1 0 0 0 1 Ordinary Shares 2024-02-09 4 A 0 6821 0 A 15238 D Ordinary Shares 4584 I By Family Trust Ordinary Shares 2024-02-12 4 S 0 2525 22.6244 D 12713 D Ordinary Shares 2024-02-13 4 S 0 842 21.6241 D 11871 D Represents a restricted share unit award that is scheduled to vest in full on the earlier of February 9, 2025 or the date of the annual general meeting of shareholders at which the reporting person's term expires, subject to the reporting person's continued service through the vesting date. Shares held by the 2001 Herscher Family Trust U/A/D 6/14/2001, for which the reporting person and her spouse serve as co-trustees. This transaction was effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on July 24, 2023. This transaction was executed in multiple trades at prices ranging from $22.49 to $22.77. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $21.39 to $22.04. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected. /s/ Anne Kuykendall as attorney-in-fact for Penny Herscher 2024-02-13