Filing Details
- Accession Number:
- 0000950103-21-004524
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-24 17:40:34
- Reporting Period:
- 2021-03-22
- Accepted Time:
- 2021-03-24 17:40:34
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1616533 | Smart Global Holdings Inc. | SGH | Semiconductors & Related Devices (3674) | 981013909 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1707037 | Kiwan Kim | C/O Smart Modular Technologies, Inc. 39870 Eureka Drive Newark CA 94560 | Evp & Pres. Em | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Ordinary Shares | Acquisiton | 2021-03-22 | 12,500 | $21.55 | 53,250 | No | 4 | M | Direct | |
| Ordinary Shares | Disposition | 2021-03-22 | 10,961 | $46.14 | 42,289 | No | 4 | S | Direct | |
| Ordinary Shares | Disposition | 2021-03-22 | 1,539 | $46.82 | 40,750 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Ordinary Shares | Employee Stock Option (right to buy) | Disposition | 2021-03-22 | 12,500 | $0.00 | 12,500 | $21.55 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 25,000 | 2029-01-22 | No | 4 | M | Direct |
Footnotes
- 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.
Billionaire Hedge Funds
