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
  1. Also referred to as ordinary shares.
  2. 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.
  3. 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.
  4. 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.
  5. 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.
  6. 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.
  7. Reflects the transfer of 3,442 options from the reporting person's family trust to the reporting person in an exempt transaction.
  8. 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.