0000950103-21-002103.txt : 20210210 0000950103-21-002103.hdr.sgml : 20210210 20210210173117 ACCESSION NUMBER: 0000950103-21-002103 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210208 FILED AS OF DATE: 20210210 DATE AS OF CHANGE: 20210210 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kim KiWan CENTRAL INDEX KEY: 0001707037 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38102 FILM NUMBER: 21615278 MAIL ADDRESS: STREET 1: C/O SMART GLOBAL HOLDINGS, INC. STREET 2: 39870 EUREKA DRIVE CITY: NEWARK STATE: CA ZIP: 94560 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SMART Global Holdings, Inc. CENTRAL INDEX KEY: 0001616533 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 981013909 STATE OF INCORPORATION: E9 FISCAL YEAR END: 0828 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 dp145964_4-kim.xml FORM 4 X0306 4 2021-02-08 0 0001616533 SMART Global Holdings, Inc. SGH 0001707037 Kim KiWan C/O SMART MODULAR TECHNOLOGIES, INC. 39870 EUREKA DRIVE NEWARK CA 94560 0 1 0 0 EVP & Pres. EM Ordinary Shares 2021-02-08 4 M 0 12500 21.5500 A 57685 D Ordinary Shares 2021-02-08 4 S 0 12500 42.9115 D 45185 D Employee Stock Option (right to buy) 21.5500 2021-02-08 4 M 0 12500 0 D 2029-01-22 Ordinary Shares 12500 37500 D This transaction was executed in multiple trades at prices ranging from $41.61 to $42.43. 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. The option vested and became exercisable as to 25% on 1/22/2020, and the remaining shares will vest monthly and become exercisable over four years. The transactions reported herein were effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on 10/30/2020. /s/ Bruce Goldberg, as attorney-in-fact for KiWan Kim 2021-02-10