0000950103-21-004524.txt : 20210324 0000950103-21-004524.hdr.sgml : 20210324 20210324174034 ACCESSION NUMBER: 0000950103-21-004524 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210322 FILED AS OF DATE: 20210324 DATE AS OF CHANGE: 20210324 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: 21769354 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 dp148325_4-kim.xml FORM 4 X0306 4 2021-03-22 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 2021-03-22 4 M 0 12500 21.55 A 53250 D Ordinary Shares 2021-03-22 4 S 0 10961 46.1355 D 42289 D Ordinary Shares 2021-03-22 4 S 0 1539 46.8153 D 40750 D Employee Stock Option (right to buy) 21.5500 2021-03-22 4 M 0 12500 0 D 2029-01-22 Ordinary Shares 12500 25000 D This transaction was executed in multiple trades at prices ranging from $45.62 to $46.59. 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 $46.63 to $47.01. 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 2021-03-24