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Penguin Solutions, Inc. — Director's Dealing 2018
Aug 15, 2018
31993_dirs_2018-08-15_5bb6f88d-0e19-4a78-9933-0c06691c5488.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SMART Global Holdings, Inc. (SGH)
CIK: 0001616533
Period of Report: 2018-08-13
Reporting Person: GOLDBERG BRUCE M (VP, Chief Legal Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-08-13 | Ordinary Shares | M | 3600 | $2.64 | Acquired | 14491 | Direct |
| 2018-08-13 | Ordinary Shares | S | 2012 | $30.61 | Disposed | 12.479 | Direct |
| 2018-08-13 | Ordinary Shares | S | 1588 | $31.42 | Disposed | 10891 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-08-13 | Employee Stock Options (right to buy) | $2.64 | M | 3600 | Disposed | 2020-09-27 | Ordinary Shares (3600) | Direct |
Footnotes
F1: The transactions reported herein were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017 and modified on 04/07/2018 and 08/03/2018.
F2: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $30.20 to $31.17. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges.
F3: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $31.20 to $31.62. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges.
F4: The option was granted on 09/28/2010 and was fully vested on 09/28/2014.
F5: These options were included in the reporting person's Form 3 dated 05/22/2017 with an expiration date of 02/05/2014. The correct date of these options was, at the time of the Form 3, and is now, 09/27/2020.