Last 12 months
Inside the activity.
0 purchase rows · 34 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 3 |
| Mar 2026 | 0 | 1 |
| Apr 2026 | 0 | 5 |
| May 2026 | 0 | 10 |
| Jun 2026 | 0 | 10 |
| Jul 2026 | 0 | 2 |
| Aug 2026 | 0 | 3 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 15, 2018 Filed Feb 20, 2018 20:33 UTC |
PATEL MUKESHDirector
|
SaleOrdinary Shares | 4,703 | $33.67 | $158,350.01 |
DisclosureSEC source: 0000950103-18-002226 · dp86988_4-patel.xml · nonDerivative · entry 2 PATEL MUKESH · CIK 0001008034 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 50,381 F1 · shares: The reported securities were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person on January 25, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.21 to $34.09, inclusive. F8 · ownership.nature: The Patel Family Partners L.P. - Fund No. 2 Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 20:33 UTC |
PATEL MUKESHDirector
|
SaleOrdinary Shares | 19,737 | $32.65 | $644,413.05 |
DisclosureSEC source: 0000950103-18-002226 · dp86988_4-patel.xml · nonDerivative · entry 1 PATEL MUKESH · CIK 0001008034 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 55,084 F1 · shares: The reported securities were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person on January 25, 2018. F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $32.2 to $33.19, inclusive. 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 the ranges set forth in footnotes (2) through (7) to this Form 4. F8 · ownership.nature: The Patel Family Partners L.P. - Fund No. 2 Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 20:32 UTC |
Marten AlanSr. VP, Chief Strategy Officer
|
Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 8,811 | $2.64 Strike: $2.64 | $23,261.04 |
DisclosureSEC source: 0000950103-18-002225 · dp86987_4-marten.xml · derivative · entry 5 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,822 Underlying: Common Stock · 8,811 shares Expires 2019-09-29 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: Fully vested and exercisable. F5 · balance_after: Total has been corrected from amount listed on Alan Marten Form 3 filed May 23, 2017. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 20:32 UTC |
Marten AlanSr. VP, Chief Strategy Officer
|
SaleOrdinary Shares | 100 | $34.50 | $3,450.00 |
DisclosureSEC source: 0000950103-18-002225 · dp86987_4-marten.xml · nonDerivative · entry 4 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,666 F1 · shares: The reported securities were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person on October 24, 2017. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 20:32 UTC |
Marten AlanSr. VP, Chief Strategy Officer
|
SaleOrdinary Shares | 1,922 | $33.61 | $64,598.42 |
DisclosureSEC source: 0000950103-18-002225 · dp86987_4-marten.xml · nonDerivative · entry 3 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,766 F1 · shares: The reported securities were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person on October 24, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.21 to $34.0, inclusive. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 20:32 UTC |
Marten AlanSr. VP, Chief Strategy Officer
|
SaleOrdinary Shares | 6,789 | $32.62 | $221,457.18 |
DisclosureSEC source: 0000950103-18-002225 · dp86987_4-marten.xml · nonDerivative · entry 2 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,688 F1 · shares: The reported securities were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person on October 24, 2017. F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $32.2 to $33.14, inclusive. 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 the ranges set forth in footnotes (2) and (3) to this Form 4. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 20:32 UTC |
Marten AlanSr. VP, Chief Strategy Officer
|
Exercise / conversionOrdinary Shares | 8,811 | $2.64 | $23,261.04 |
DisclosureSEC source: 0000950103-18-002225 · dp86987_4-marten.xml · nonDerivative · entry 1 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,477 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 30, 2018 Filed Feb 1, 2018 21:16 UTC |
GOLDBERG BRUCE MVP, Chief Legal Officer
|
Tax withholdingOrdinary Shares | 799 | $38.26 | $30,569.74 |
DisclosureSEC source: 0000950103-18-001402 · dp86185_4-goldberg.xml · nonDerivative · entry 1 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,891 F1 · kind: Shares sold to satisfy tax withholding obligations in connection with the vesting of restricted stock units. Read SEC document |
| January 30, 2018 Filed Feb 1, 2018 21:23 UTC |
Pacheco Jack AExecutive VP, CFO, COO
|
SaleOrdinary Shares | 100 | $38.28 | $3,828.00 |
DisclosureSEC source: 0000950103-18-001404 · dp86187_4-pacheco.xml · nonDerivative · entry 3 Pacheco Jack A · CIK 0001344018 · Executive VP, CFO, COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,319 F1 · kind: The reported securities were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person on October 25, 2017. Read SEC document |
| January 30, 2018 Filed Feb 1, 2018 21:23 UTC |
Pacheco Jack AExecutive VP, CFO, COO
|
SaleOrdinary Shares | 4,907 | $36.31 | $178,173.17 |
DisclosureSEC source: 0000950103-18-001404 · dp86187_4-pacheco.xml · nonDerivative · entry 2 Pacheco Jack A · CIK 0001344018 · Executive VP, CFO, COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,419 F1 · kind: The reported securities were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person on October 25, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.00 to $36.84, inclusive. Read SEC document |
| January 30, 2018 Filed Feb 1, 2018 21:23 UTC |
Pacheco Jack AExecutive VP, CFO, COO
|
SaleOrdinary Shares | 13,417 | $35.70 | $478,986.90 |
DisclosureSEC source: 0000950103-18-001404 · dp86187_4-pacheco.xml · nonDerivative · entry 1 Pacheco Jack A · CIK 0001344018 · Executive VP, CFO, COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,326 F1 · kind: The reported securities were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person on October 25, 2017. F2 · price: The price reported in Colum 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $35.00 to $35.98, inclusive. 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 the ranges set forth in footnotes (2) and (3) to this Form 4. Read SEC document |
| January 30, 2018 Filed Feb 2, 2018 02:18 UTC |
Kim KiWanSVP of EM & Pres. Brazil
|
SaleOrdinary Shares | 1,600 | $36.38 | $58,208.00 |
DisclosureSEC source: 0000950103-18-001403 · dp86186_4-kim.xml · nonDerivative · entry 2 Kim KiWan · CIK 0001707037 · SVP of EM & Pres. Brazil 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,989 F1 · kind: The reported securities were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person on October 26, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.05 to $36.89, inclusive. Read SEC document |
| January 30, 2018 Filed Feb 2, 2018 02:18 UTC |
Kim KiWanSVP of EM & Pres. Brazil
|
SaleOrdinary Shares | 5,274 | $35.70 | $188,281.80 |
DisclosureSEC source: 0000950103-18-001403 · dp86186_4-kim.xml · nonDerivative · entry 1 Kim KiWan · CIK 0001707037 · SVP of EM & Pres. Brazil 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,589 F1 · kind: The reported securities were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person on October 26, 2017. F2 · price: The price reported in Colum 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $35.01 to $35.98, inclusive. 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 the ranges set forth in footnotes (2) and (3) to this Form 4. Read SEC document |
| January 26, 2018 Filed Jan 30, 2018 20:35 UTC |
PATEL MUKESHDirector
|
GrantOrdinary Shares | 3,221 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-18-001141 · dp85828_4-patel.xml · nonDerivative · entry 1 PATEL MUKESH · CIK 0001008034 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,749 F1 · shares: 100% of the RSUs vest on 1/26/2019. F2 · balance_after: Includes Restricted Stock Units. Read SEC document |
| January 26, 2018 Filed Jan 31, 2018 01:38 UTC |
NAYYAR SANDEEPDirector
|
GrantOrdinary Shares | 3,221 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-18-001142 · dp85826_4-nayyar.xml · nonDerivative · entry 1 NAYYAR SANDEEP · CIK 0001230307 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,384 F1 · shares: 100% of the RSUs vest on 1/26/2019. F2 · balance_after: Includes Restricted Stock Units. Read SEC document |
| January 22, 2018 Filed Jan 24, 2018 16:48 UTC |
Pacheco Jack AExecutive VP, CFO, COO
|
Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 7,500 | $0.00 Strike: $11.55 | $0.00 |
DisclosureSEC source: 0000950103-18-000804 · dp85574_4-pacheco.xml · derivative · entry 3 Pacheco Jack A · CIK 0001344018 · Executive VP, CFO, COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,253 Underlying: Ordinary Shares · 7,500 shares Expires 2026-05-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The original option vested 50% in May 2017 with the remainder vesting quarterly through May 2018. Read SEC document |
| January 22, 2018 Filed Jan 24, 2018 16:48 UTC |
Pacheco Jack AExecutive VP, CFO, COO
|
SaleOrdinary Shares | 7,500 | $38.64 | $289,800.00 |
DisclosureSEC source: 0000950103-18-000804 · dp85574_4-pacheco.xml · nonDerivative · entry 2 Pacheco Jack A · CIK 0001344018 · Executive VP, CFO, COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,743 F2 · shares: Shares sold pursuant to a previously established Rule 10b5-1 Plan. F3 · price: This is a weighted average sale price. Shares reported in each line item were sold in multiple transactions at prices in the following range: from $38.10 to $39.02. 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 the foregoing range. F1 · balance_after: Includes restricted stock units. Read SEC document |
| January 22, 2018 Filed Jan 24, 2018 16:48 UTC |
Pacheco Jack AExecutive VP, CFO, COO
|
Exercise / conversionOrdinary Shares | 7,500 | $11.55 | $86,625.00 |
DisclosureSEC source: 0000950103-18-000804 · dp85574_4-pacheco.xml · nonDerivative · entry 1 Pacheco Jack A · CIK 0001344018 · Executive VP, CFO, COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,243 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes restricted stock units. Read SEC document |
| January 16, 2018 Filed Jan 18, 2018 18:34 UTC |
Marten AlanSr. VP, Chief Strategy Officer
|
Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 8,700 | $2.64 Strike: $2.64 | $22,968.00 |
DisclosureSEC source: 0000950103-18-000583 · dp85290_4-marten.xml · derivative · entry 4 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,633 Underlying: Common Stock · 8,700 shares Expires 2019-09-29 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: Fully vested and exercisable. Read SEC document |
| January 16, 2018 Filed Jan 18, 2018 18:34 UTC |
Marten AlanSr. VP, Chief Strategy Officer
|
SaleOrdinary Shares | 1,000 | $36.44 | $36,440.00 |
DisclosureSEC source: 0000950103-18-000583 · dp85290_4-marten.xml · nonDerivative · entry 3 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,666 F1 · shares: Shares sold pursuant to a previously established Rule 10b5-1 Plan. F2 · price: This is a weighted average sale price. Shares reported in each line item were sold in multiple transactions at prices in the following ranges, respectively: from $35.13 to $36.01 and from $36.13 to $36.87. 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 the foregoing ranges. F3 · balance_after: Includes restricted stock units. Read SEC document |
| January 16, 2018 Filed Jan 18, 2018 18:34 UTC |
Marten AlanSr. VP, Chief Strategy Officer
|
SaleOrdinary Shares | 7,700 | $35.63 | $274,351.00 |
DisclosureSEC source: 0000950103-18-000583 · dp85290_4-marten.xml · nonDerivative · entry 2 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,666 F1 · shares: Shares sold pursuant to a previously established Rule 10b5-1 Plan. F2 · price: This is a weighted average sale price. Shares reported in each line item were sold in multiple transactions at prices in the following ranges, respectively: from $35.13 to $36.01 and from $36.13 to $36.87. 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 the foregoing ranges. F3 · balance_after: Includes restricted stock units. Read SEC document |
| January 16, 2018 Filed Jan 18, 2018 18:34 UTC |
Marten AlanSr. VP, Chief Strategy Officer
|
Exercise / conversionOrdinary Shares | 8,700 | $2.64 | $22,968.00 |
DisclosureSEC source: 0000950103-18-000583 · dp85290_4-marten.xml · nonDerivative · entry 1 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,366 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · balance_after: Includes restricted stock units. Read SEC document |
| January 05, 2018 Filed Jan 5, 2018 19:44 UTC |
GOLDBERG BRUCE MVP, Chief Legal Officer
|
Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 2,500 | $0.00 Strike: $2.64 | $0.00 |
DisclosureSEC source: 0000950103-18-000211 · dp84950_4-goldberg.xml · derivative · entry 4 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,166 Underlying: Ordinary Shares · 2,500 shares Expires 2019-08-24 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: Fully vested and exercisable. Read SEC document |
| January 05, 2018 Filed Jan 5, 2018 19:44 UTC |
GOLDBERG BRUCE MVP, Chief Legal Officer
|
SaleOrdinary Shares | 1,500 | $36.26 | $54,390.00 |
DisclosureSEC source: 0000950103-18-000211 · dp84950_4-goldberg.xml · nonDerivative · entry 3 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,690 F2 · shares: Shares sold pursuant to a previously established Rule 10b5-1 Plan. F3 · price: This is a weighted average sale price. Shares reported in each line item were sold in multiple transactions at prices in the following ranges, respectively: from $34.64 to $35.58; and from $35.89 to $36.53. 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 the foregoing ranges. F1 · balance_after: Includes restricted stock units. Read SEC document |
| January 05, 2018 Filed Jan 5, 2018 19:44 UTC |
GOLDBERG BRUCE MVP, Chief Legal Officer
|
SaleOrdinary Shares | 1,000 | $35.02 | $35,020.00 |
DisclosureSEC source: 0000950103-18-000211 · dp84950_4-goldberg.xml · nonDerivative · entry 2 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,190 F2 · shares: Shares sold pursuant to a previously established Rule 10b5-1 Plan. F3 · price: This is a weighted average sale price. Shares reported in each line item were sold in multiple transactions at prices in the following ranges, respectively: from $34.64 to $35.58; and from $35.89 to $36.53. 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 the foregoing ranges. F1 · balance_after: Includes restricted stock units. Read SEC document |
| January 05, 2018 Filed Jan 5, 2018 19:44 UTC |
GOLDBERG BRUCE MVP, Chief Legal Officer
|
Exercise / conversionOrdinary Shares | 2,500 | $2.64 | $6,600.00 |
DisclosureSEC source: 0000950103-18-000211 · dp84950_4-goldberg.xml · nonDerivative · entry 1 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,190 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes restricted stock units. Read SEC document |
| January 05, 2018 Filed Jan 5, 2018 22:39 UTC |
Kim KiWanSVP of EM & Pres. Brazil
|
SaleOrdinary Shares | 14,533 | $36.25 | $526,821.25 |
DisclosureSEC source: 0000950103-18-000202 · dp84942_4-kiwan.xml · nonDerivative · entry 6 Kim KiWan · CIK 0001707037 · SVP of EM & Pres. Brazil 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,863 F2 · shares: Shares sold pursuant to a previously established Rule 10b5-1 Plan. F3 · price: This is a weighted average sale price. Shares reported in each line item were sold in multiple transactions at prices in the following ranges, respectively: from $35.20 to $36.23; from $34.82 to $35.59; from $34.59 to $35.57; and from $35.67 to $36.58. 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 the foregoing ranges. F1 · balance_after: Includes restricted stock units. Read SEC document |
| January 05, 2018 Filed Jan 5, 2018 22:39 UTC |
Kim KiWanSVP of EM & Pres. Brazil
|
SaleOrdinary Shares | 8,557 | $35.05 | $299,922.85 |
DisclosureSEC source: 0000950103-18-000202 · dp84942_4-kiwan.xml · nonDerivative · entry 5 Kim KiWan · CIK 0001707037 · SVP of EM & Pres. Brazil 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,396 F2 · shares: Shares sold pursuant to a previously established Rule 10b5-1 Plan. F3 · price: This is a weighted average sale price. Shares reported in each line item were sold in multiple transactions at prices in the following ranges, respectively: from $35.20 to $36.23; from $34.82 to $35.59; from $34.59 to $35.57; and from $35.67 to $36.58. 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 the foregoing ranges. F1 · balance_after: Includes restricted stock units. Read SEC document |
| January 04, 2018 Filed Jan 5, 2018 22:39 UTC |
Kim KiWanSVP of EM & Pres. Brazil
|
Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 14,698 | $0.00 Strike: $11.55 | $0.00 |
DisclosureSEC source: 0000950103-18-000202 · dp84942_4-kiwan.xml · derivative · entry 8 Kim KiWan · CIK 0001707037 · SVP of EM & Pres. Brazil 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,914 Underlying: Ordinary Shares · 14,698 shares Expires 2026-05-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The original option vested 50% in May 2017 with the remainder vesting quarterly through May 2018. This option aggregates the reporting of three line items on the reporting person's original Form 3 with the same grant date and exercise price, and there are no other outstanding options held by the reporting person. Read SEC document |
| January 04, 2018 Filed Jan 5, 2018 22:39 UTC |
Kim KiWanSVP of EM & Pres. Brazil
|
SaleOrdinary Shares | 14,698 | $35.27 | $518,398.46 |
DisclosureSEC source: 0000950103-18-000202 · dp84942_4-kiwan.xml · nonDerivative · entry 4 Kim KiWan · CIK 0001707037 · SVP of EM & Pres. Brazil 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,953 F2 · shares: Shares sold pursuant to a previously established Rule 10b5-1 Plan. F3 · price: This is a weighted average sale price. Shares reported in each line item were sold in multiple transactions at prices in the following ranges, respectively: from $35.20 to $36.23; from $34.82 to $35.59; from $34.59 to $35.57; and from $35.67 to $36.58. 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 the foregoing ranges. F1 · balance_after: Includes restricted stock units. Read SEC document |
| January 04, 2018 Filed Jan 5, 2018 22:39 UTC |
Kim KiWanSVP of EM & Pres. Brazil
|
Exercise / conversionOrdinary Shares | 14,698 | $11.55 | $169,761.90 |
DisclosureSEC source: 0000950103-18-000202 · dp84942_4-kiwan.xml · nonDerivative · entry 3 Kim KiWan · CIK 0001707037 · SVP of EM & Pres. Brazil 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,651 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes restricted stock units. Read SEC document |
| January 03, 2018 Filed Jan 5, 2018 22:39 UTC |
Kim KiWanSVP of EM & Pres. Brazil
|
Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 15,047 | $0.00 Strike: $11.55 | $0.00 |
DisclosureSEC source: 0000950103-18-000202 · dp84942_4-kiwan.xml · derivative · entry 7 Kim KiWan · CIK 0001707037 · SVP of EM & Pres. Brazil 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,612 Underlying: Ordinary Shares · 15,047 shares Expires 2026-05-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The original option vested 50% in May 2017 with the remainder vesting quarterly through May 2018. This option aggregates the reporting of three line items on the reporting person's original Form 3 with the same grant date and exercise price, and there are no other outstanding options held by the reporting person. Read SEC document |
| January 03, 2018 Filed Jan 5, 2018 22:39 UTC |
Kim KiWanSVP of EM & Pres. Brazil
|
SaleOrdinary Shares | 15,047 | $35.67 | $536,726.49 |
DisclosureSEC source: 0000950103-18-000202 · dp84942_4-kiwan.xml · nonDerivative · entry 2 Kim KiWan · CIK 0001707037 · SVP of EM & Pres. Brazil 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,953 F2 · shares: Shares sold pursuant to a previously established Rule 10b5-1 Plan. F3 · price: This is a weighted average sale price. Shares reported in each line item were sold in multiple transactions at prices in the following ranges, respectively: from $35.20 to $36.23; from $34.82 to $35.59; from $34.59 to $35.57; and from $35.67 to $36.58. 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 the foregoing ranges. F1 · balance_after: Includes restricted stock units. Read SEC document |
| January 03, 2018 Filed Jan 5, 2018 22:39 UTC |
Kim KiWanSVP of EM & Pres. Brazil
|
Exercise / conversionOrdinary Shares | 15,047 | $11.55 | $173,792.85 |
DisclosureSEC source: 0000950103-18-000202 · dp84942_4-kiwan.xml · nonDerivative · entry 1 Kim KiWan · CIK 0001707037 · SVP of EM & Pres. Brazil 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes restricted stock units. Read SEC document |
| December 21, 2017 Filed Dec 21, 2017 18:27 UTC |
Pacheco Jack AExecutive VP, CFO, COO
|
Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 7,500 | $0.00 Strike: $11.55 | $0.00 |
DisclosureSEC source: 0000950103-17-012677 · dp84389_4-pacheco.xml · derivative · entry 5 Pacheco Jack A · CIK 0001344018 · Executive VP, CFO, COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,753 Underlying: Ordinary Shares · 7,500 shares Expires 2026-05-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: The original option vested 50% in May 2017 with the remainder vesting quarterly through May 2018. Read SEC document |
| December 21, 2017 Filed Dec 21, 2017 18:27 UTC |
Pacheco Jack AExecutive VP, CFO, COO
|
SaleOrdinary Shares | 1,500 | $31.57 | $47,355.00 |
DisclosureSEC source: 0000950103-17-012677 · dp84389_4-pacheco.xml · nonDerivative · entry 4 Pacheco Jack A · CIK 0001344018 · Executive VP, CFO, COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,743 F3 · shares: Shares sold pursuant to a previously established Rule 10b5-1 Plan. F4 · price: This is a weighted average sale price. Shares reported in each line item were sold in multiple transactions at prices in the following ranges, respectively: from $30.31 to $31.29; and from $31.32 to $31.90. 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 the foregoing ranges. F2 · balance_after: Includes restricted stock units. Read SEC document |
| December 21, 2017 Filed Dec 21, 2017 18:27 UTC |
Pacheco Jack AExecutive VP, CFO, COO
|
SaleOrdinary Shares | 6,000 | $30.93 | $185,580.00 |
DisclosureSEC source: 0000950103-17-012677 · dp84389_4-pacheco.xml · nonDerivative · entry 3 Pacheco Jack A · CIK 0001344018 · Executive VP, CFO, COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,243 F3 · shares: Shares sold pursuant to a previously established Rule 10b5-1 Plan. F4 · price: This is a weighted average sale price. Shares reported in each line item were sold in multiple transactions at prices in the following ranges, respectively: from $30.31 to $31.29; and from $31.32 to $31.90. 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 the foregoing ranges. F2 · balance_after: Includes restricted stock units. Read SEC document |
| December 21, 2017 Filed Dec 21, 2017 18:27 UTC |
Pacheco Jack AExecutive VP, CFO, COO
|
Exercise / conversionOrdinary Shares | 7,500 | $11.55 | $86,625.00 |
DisclosureSEC source: 0000950103-17-012677 · dp84389_4-pacheco.xml · nonDerivative · entry 2 Pacheco Jack A · CIK 0001344018 · Executive VP, CFO, COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,243 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · balance_after: Includes restricted stock units. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 18:27 UTC |
Pacheco Jack AExecutive VP, CFO, COO
|
GrantOrdinary Shares | 24,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-17-012677 · dp84389_4-pacheco.xml · nonDerivative · entry 1 Pacheco Jack A · CIK 0001344018 · Executive VP, CFO, COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,743 F1 · shares: Award of restricted stock units vests 25% in January 2019, with the remainder vesting in quarterly installments over the subsequent three-year period. F2 · balance_after: Includes restricted stock units. Read SEC document |
| December 04, 2017 Filed Dec 5, 2017 21:21 UTC |
SLTA Sumeru (GP) Cayman, L.P.10% owner
Silver Lake Sumeru Fund Cayman, L.P.10% owner
SHAH AJAYDirector
Mercadante PaulDirector
|
SaleOrdinary Shares | 1,115 | $32.10 | $35,791.50 |
DisclosureSEC source: 0000899243-17-028004 · doc4.xml · nonDerivative · entry 6 SILVER LAKE SUMERU (OFFSHORE) AIV GP, LTD. · CIK 0001696894 · 10% owner SLTA Sumeru (GP) Cayman, L.P. · CIK 0001706811 · 10% owner Silver Lake Technology Associates Sumeru Cayman, L.P. · CIK 0001706523 · 10% owner Silver Lake Sumeru Fund Cayman, L.P. · CIK 0001706809 · 10% owner Silver Lake Technology Investors Sumeru Cayman, L.P. · CIK 0001706812 · 10% owner SHAH AJAY · CIK 0001008036 · Director Mercadante Paul · CIK 0001491157 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,182 F1 · price: This amount represents a public offering price of $33.50 per share of Ordinary Shares, par value $0.03 per share, of SMART Global Holdings, Inc. (the "Issuer") less an underwriting discount of $1.40 per share for shares sold in an underwritten public offering. F10 · ownership.direct: These securities are held by Mr. Shah directly. Read SEC document |
| December 04, 2017 Filed Dec 5, 2017 21:21 UTC |
SLTA Sumeru (GP) Cayman, L.P.10% owner
Silver Lake Sumeru Fund Cayman, L.P.10% owner
SHAH AJAYDirector
Mercadante PaulDirector
|
SaleOrdinary Shares | 50,356 | $32.10 | $1,616,427.60 |
DisclosureSEC source: 0000899243-17-028004 · doc4.xml · nonDerivative · entry 5 SILVER LAKE SUMERU (OFFSHORE) AIV GP, LTD. · CIK 0001696894 · 10% owner SLTA Sumeru (GP) Cayman, L.P. · CIK 0001706811 · 10% owner Silver Lake Technology Associates Sumeru Cayman, L.P. · CIK 0001706523 · 10% owner Silver Lake Sumeru Fund Cayman, L.P. · CIK 0001706809 · 10% owner Silver Lake Technology Investors Sumeru Cayman, L.P. · CIK 0001706812 · 10% owner SHAH AJAY · CIK 0001008036 · Director Mercadante Paul · CIK 0001491157 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 188,950 F1 · price: This amount represents a public offering price of $33.50 per share of Ordinary Shares, par value $0.03 per share, of SMART Global Holdings, Inc. (the "Issuer") less an underwriting discount of $1.40 per share for shares sold in an underwritten public offering. F9 · ownership.nature: These securities are held through trusts for the benefit of Mr. Shah and his family. F11 · ownership.nature: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document |
| December 04, 2017 Filed Dec 5, 2017 21:21 UTC |
SLTA Sumeru (GP) Cayman, L.P.10% owner
Silver Lake Sumeru Fund Cayman, L.P.10% owner
SHAH AJAYDirector
Mercadante PaulDirector
|
SaleOrdinary Shares | 12,030 | $32.10 | $386,163.00 |
DisclosureSEC source: 0000899243-17-028004 · doc4.xml · nonDerivative · entry 4 SILVER LAKE SUMERU (OFFSHORE) AIV GP, LTD. · CIK 0001696894 · 10% owner SLTA Sumeru (GP) Cayman, L.P. · CIK 0001706811 · 10% owner Silver Lake Technology Associates Sumeru Cayman, L.P. · CIK 0001706523 · 10% owner Silver Lake Sumeru Fund Cayman, L.P. · CIK 0001706809 · 10% owner Silver Lake Technology Investors Sumeru Cayman, L.P. · CIK 0001706812 · 10% owner SHAH AJAY · CIK 0001008036 · Director Mercadante Paul · CIK 0001491157 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through Silver Lake Technology Investors Sumeru Cayman, L.P. Disclosed balance after: 45,139 F1 · price: This amount represents a public offering price of $33.50 per share of Ordinary Shares, par value $0.03 per share, of SMART Global Holdings, Inc. (the "Issuer") less an underwriting discount of $1.40 per share for shares sold in an underwritten public offering. F6 · ownership.nature: These securities are directly held by Silver Lake Technology Investors Sumeru Cayman, L.P. ("SLTI Sumeru Cayman"). F7 · ownership.nature: Silver Lake Technology Associates Sumeru Cayman, L.P. ("SLTA Sumeru Cayman") is the general partner of SLS Cayman and SLTI Sumeru Cayman. SLTA Sumeru (GP) Cayman, L.P. ("SLTA Sumeru GP Cayman") is the general partner of SLTA Sumeru Cayman, and the general partner of SLTA Sumeru GP Cayman is Silver Lake Sumeru (Offshore) AIV GP, Ltd. ("SL Sumeru Offshore Ltd."). F8 · ownership.nature: Messrs. Kenneth Hao, James Davidson, Ajay Shah and Paul Mercadante each serves as a director of the Issuer, and also each serves as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and each may be deemed to beneficially own any securities beneficially owned by SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. but each disclaims beneficial ownership of such securities, except to the extent of his respective pecuniary interest therein. F11 · ownership.nature: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document |
| December 04, 2017 Filed Dec 5, 2017 21:21 UTC |
SLTA Sumeru (GP) Cayman, L.P.10% owner
Silver Lake Sumeru Fund Cayman, L.P.10% owner
SHAH AJAYDirector
Mercadante PaulDirector
|
SaleOrdinary Shares | 987,970 | $32.10 | $31,713,837.00 |
DisclosureSEC source: 0000899243-17-028004 · doc4.xml · nonDerivative · entry 3 SILVER LAKE SUMERU (OFFSHORE) AIV GP, LTD. · CIK 0001696894 · 10% owner SLTA Sumeru (GP) Cayman, L.P. · CIK 0001706811 · 10% owner Silver Lake Technology Associates Sumeru Cayman, L.P. · CIK 0001706523 · 10% owner Silver Lake Sumeru Fund Cayman, L.P. · CIK 0001706809 · 10% owner Silver Lake Technology Investors Sumeru Cayman, L.P. · CIK 0001706812 · 10% owner SHAH AJAY · CIK 0001008036 · Director Mercadante Paul · CIK 0001491157 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through Silver Lake Sumeru Fund Cayman, L.P. Disclosed balance after: 3,707,112 F1 · price: This amount represents a public offering price of $33.50 per share of Ordinary Shares, par value $0.03 per share, of SMART Global Holdings, Inc. (the "Issuer") less an underwriting discount of $1.40 per share for shares sold in an underwritten public offering. F5 · ownership.nature: These securities are directly held by Silver Lake Sumeru Fund Cayman, L.P. ("SLS Cayman"). F7 · ownership.nature: Silver Lake Technology Associates Sumeru Cayman, L.P. ("SLTA Sumeru Cayman") is the general partner of SLS Cayman and SLTI Sumeru Cayman. SLTA Sumeru (GP) Cayman, L.P. ("SLTA Sumeru GP Cayman") is the general partner of SLTA Sumeru Cayman, and the general partner of SLTA Sumeru GP Cayman is Silver Lake Sumeru (Offshore) AIV GP, Ltd. ("SL Sumeru Offshore Ltd."). F8 · ownership.nature: Messrs. Kenneth Hao, James Davidson, Ajay Shah and Paul Mercadante each serves as a director of the Issuer, and also each serves as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and each may be deemed to beneficially own any securities beneficially owned by SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. but each disclaims beneficial ownership of such securities, except to the extent of his respective pecuniary interest therein. F11 · ownership.nature: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document |
| December 04, 2017 Filed Dec 5, 2017 21:21 UTC |
SLTA Sumeru (GP) Cayman, L.P.10% owner
Silver Lake Sumeru Fund Cayman, L.P.10% owner
SHAH AJAYDirector
Mercadante PaulDirector
|
SaleOrdinary Shares | 10,720 | $32.10 | $344,112.00 |
DisclosureSEC source: 0000899243-17-028004 · doc4.xml · nonDerivative · entry 2 SILVER LAKE SUMERU (OFFSHORE) AIV GP, LTD. · CIK 0001696894 · 10% owner SLTA Sumeru (GP) Cayman, L.P. · CIK 0001706811 · 10% owner Silver Lake Technology Associates Sumeru Cayman, L.P. · CIK 0001706523 · 10% owner Silver Lake Sumeru Fund Cayman, L.P. · CIK 0001706809 · 10% owner Silver Lake Technology Investors Sumeru Cayman, L.P. · CIK 0001706812 · 10% owner SHAH AJAY · CIK 0001008036 · Director Mercadante Paul · CIK 0001491157 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through Silver Lake Technology Investors III Cayman, L.P. Disclosed balance after: 40,224 F1 · price: This amount represents a public offering price of $33.50 per share of Ordinary Shares, par value $0.03 per share, of SMART Global Holdings, Inc. (the "Issuer") less an underwriting discount of $1.40 per share for shares sold in an underwritten public offering. F3 · ownership.nature: These securities are directly held by Silver Lake Technology Investors III Cayman, L.P. ("SLTI III Cayman"). F4 · ownership.nature: Silver Lake Technology Associates III Cayman, L.P. ("SLTA III Cayman") is the general partner of SLP III Cayman and SLTI III Cayman. Silver Lake (Offshore) AIV GP III, Ltd. is the general partner of SLTA III Cayman. F8 · ownership.nature: Messrs. Kenneth Hao, James Davidson, Ajay Shah and Paul Mercadante each serves as a director of the Issuer, and also each serves as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and each may be deemed to beneficially own any securities beneficially owned by SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. but each disclaims beneficial ownership of such securities, except to the extent of his respective pecuniary interest therein. F11 · ownership.nature: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document |
| December 04, 2017 Filed Dec 5, 2017 21:21 UTC |
SLTA Sumeru (GP) Cayman, L.P.10% owner
Silver Lake Sumeru Fund Cayman, L.P.10% owner
SHAH AJAYDirector
Mercadante PaulDirector
|
SaleOrdinary Shares | 1,989,280 | $32.10 | $63,855,888.00 |
DisclosureSEC source: 0000899243-17-028004 · doc4.xml · nonDerivative · entry 1 SILVER LAKE SUMERU (OFFSHORE) AIV GP, LTD. · CIK 0001696894 · 10% owner SLTA Sumeru (GP) Cayman, L.P. · CIK 0001706811 · 10% owner Silver Lake Technology Associates Sumeru Cayman, L.P. · CIK 0001706523 · 10% owner Silver Lake Sumeru Fund Cayman, L.P. · CIK 0001706809 · 10% owner Silver Lake Technology Investors Sumeru Cayman, L.P. · CIK 0001706812 · 10% owner SHAH AJAY · CIK 0001008036 · Director Mercadante Paul · CIK 0001491157 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through Silver Lake Partners III Cayman (AIV III), L.P. Disclosed balance after: 7,464,280 F1 · price: This amount represents a public offering price of $33.50 per share of Ordinary Shares, par value $0.03 per share, of SMART Global Holdings, Inc. (the "Issuer") less an underwriting discount of $1.40 per share for shares sold in an underwritten public offering. F2 · ownership.nature: These securities are directly held by Silver Lake Partners III Cayman (AIV III), L.P. ("SLP III Cayman"). F4 · ownership.nature: Silver Lake Technology Associates III Cayman, L.P. ("SLTA III Cayman") is the general partner of SLP III Cayman and SLTI III Cayman. Silver Lake (Offshore) AIV GP III, Ltd. is the general partner of SLTA III Cayman. F8 · ownership.nature: Messrs. Kenneth Hao, James Davidson, Ajay Shah and Paul Mercadante each serves as a director of the Issuer, and also each serves as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and each may be deemed to beneficially own any securities beneficially owned by SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. but each disclaims beneficial ownership of such securities, except to the extent of his respective pecuniary interest therein. F11 · ownership.nature: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document |
| December 04, 2017 Filed Dec 5, 2017 21:26 UTC |
DAVIDSON JAMESDirector
Hao KennethDirector
|
SaleOrdinary Shares | 12,030 | $32.10 | $386,163.00 |
DisclosureSEC source: 0000899243-17-028005 · doc4.xml · nonDerivative · entry 4 Silver Lake (Offshore) AIV GP III, Ltd. · CIK 0001487793 · 10% owner Silver Lake Technology Associates III Cayman, L.P. · CIK 0001623274 · 10% owner Silver Lake Partners III Cayman (AIV III), L.P. · CIK 0001487788 · 10% owner Silver Lake Technology Investors III Cayman, L.P. · CIK 0001487789 · 10% owner DAVIDSON JAMES · CIK 0001181728 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through Silver Lake Technology Investors Sumeru Cayman, L.P. Disclosed balance after: 45,139 F1 · price: This amount represents a public offering price of $33.50 per share of Ordinary Shares, par value $0.03 per share, of SMART Global Holdings, Inc. (the "Issuer") less an underwriting discount of $1.40 per share for shares sold in an underwritten public offering. F6 · ownership.nature: These securities are directly held by Silver Lake Technology Investors Sumeru Cayman, L.P. ("SLTI Sumeru Cayman"). F7 · ownership.nature: Silver Lake Technology Associates Sumeru Cayman, L.P. ("SLTA Sumeru Cayman") is the general partner of SLS Cayman and SLTI Sumeru Cayman. SLTA Sumeru (GP) Cayman, L.P. ("SLTA Sumeru GP Cayman") is the general partner of SLTA Sumeru Cayman, and the general partner of SLTA Sumeru GP Cayman is Silver Lake Sumeru (Offshore) AIV GP, Ltd. ("SL Sumeru Offshore Ltd."). F8 · ownership.nature: Messrs. Kenneth Hao, James Davidson, Ajay Shah and Paul Mercadante each serves as a director of the Issuer, and also each serves as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and each may be deemed to beneficially own any securities beneficially owned by SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. but each disclaims beneficial ownership of such securities, except to the extent of his respective pecuniary interest therein. F9 · ownership.nature: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document |
| December 04, 2017 Filed Dec 5, 2017 21:26 UTC |
DAVIDSON JAMESDirector
Hao KennethDirector
|
SaleOrdinary Shares | 987,970 | $32.10 | $31,713,837.00 |
DisclosureSEC source: 0000899243-17-028005 · doc4.xml · nonDerivative · entry 3 Silver Lake (Offshore) AIV GP III, Ltd. · CIK 0001487793 · 10% owner Silver Lake Technology Associates III Cayman, L.P. · CIK 0001623274 · 10% owner Silver Lake Partners III Cayman (AIV III), L.P. · CIK 0001487788 · 10% owner Silver Lake Technology Investors III Cayman, L.P. · CIK 0001487789 · 10% owner DAVIDSON JAMES · CIK 0001181728 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through Silver Lake Sumeru Fund Cayman, L.P. Disclosed balance after: 3,707,112 F1 · price: This amount represents a public offering price of $33.50 per share of Ordinary Shares, par value $0.03 per share, of SMART Global Holdings, Inc. (the "Issuer") less an underwriting discount of $1.40 per share for shares sold in an underwritten public offering. F5 · ownership.nature: These securities are directly held by Silver Lake Sumeru Fund Cayman, L.P. ("SLS Cayman"). F7 · ownership.nature: Silver Lake Technology Associates Sumeru Cayman, L.P. ("SLTA Sumeru Cayman") is the general partner of SLS Cayman and SLTI Sumeru Cayman. SLTA Sumeru (GP) Cayman, L.P. ("SLTA Sumeru GP Cayman") is the general partner of SLTA Sumeru Cayman, and the general partner of SLTA Sumeru GP Cayman is Silver Lake Sumeru (Offshore) AIV GP, Ltd. ("SL Sumeru Offshore Ltd."). F8 · ownership.nature: Messrs. Kenneth Hao, James Davidson, Ajay Shah and Paul Mercadante each serves as a director of the Issuer, and also each serves as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and each may be deemed to beneficially own any securities beneficially owned by SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. but each disclaims beneficial ownership of such securities, except to the extent of his respective pecuniary interest therein. F9 · ownership.nature: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document |
| December 04, 2017 Filed Dec 5, 2017 21:26 UTC |
DAVIDSON JAMESDirector
Hao KennethDirector
|
SaleOrdinary Shares | 10,720 | $32.10 | $344,112.00 |
DisclosureSEC source: 0000899243-17-028005 · doc4.xml · nonDerivative · entry 2 Silver Lake (Offshore) AIV GP III, Ltd. · CIK 0001487793 · 10% owner Silver Lake Technology Associates III Cayman, L.P. · CIK 0001623274 · 10% owner Silver Lake Partners III Cayman (AIV III), L.P. · CIK 0001487788 · 10% owner Silver Lake Technology Investors III Cayman, L.P. · CIK 0001487789 · 10% owner DAVIDSON JAMES · CIK 0001181728 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through Silver Lake Technology Investors III Cayman, L.P. Disclosed balance after: 40,224 F1 · price: This amount represents a public offering price of $33.50 per share of Ordinary Shares, par value $0.03 per share, of SMART Global Holdings, Inc. (the "Issuer") less an underwriting discount of $1.40 per share for shares sold in an underwritten public offering. F3 · ownership.nature: These securities are directly held by Silver Lake Technology Investors III Cayman, L.P. ("SLTI III Cayman"). F4 · ownership.nature: Silver Lake Technology Associates III Cayman, L.P. ("SLTA III Cayman") is the general partner of SLP III Cayman and SLTI III Cayman. Silver Lake (Offshore) AIV GP III, Ltd. is the general partner of SLTA III Cayman. F8 · ownership.nature: Messrs. Kenneth Hao, James Davidson, Ajay Shah and Paul Mercadante each serves as a director of the Issuer, and also each serves as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and each may be deemed to beneficially own any securities beneficially owned by SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. but each disclaims beneficial ownership of such securities, except to the extent of his respective pecuniary interest therein. F9 · ownership.nature: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document |
| December 04, 2017 Filed Dec 5, 2017 21:26 UTC |
DAVIDSON JAMESDirector
Hao KennethDirector
|
SaleOrdinary Shares | 1,989,280 | $32.10 | $63,855,888.00 |
DisclosureSEC source: 0000899243-17-028005 · doc4.xml · nonDerivative · entry 1 Silver Lake (Offshore) AIV GP III, Ltd. · CIK 0001487793 · 10% owner Silver Lake Technology Associates III Cayman, L.P. · CIK 0001623274 · 10% owner Silver Lake Partners III Cayman (AIV III), L.P. · CIK 0001487788 · 10% owner Silver Lake Technology Investors III Cayman, L.P. · CIK 0001487789 · 10% owner DAVIDSON JAMES · CIK 0001181728 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through Silver Lake Partners III Cayman (AIV III), L.P Disclosed balance after: 7,464,280 F1 · price: This amount represents a public offering price of $33.50 per share of Ordinary Shares, par value $0.03 per share, of SMART Global Holdings, Inc. (the "Issuer") less an underwriting discount of $1.40 per share for shares sold in an underwritten public offering. F2 · ownership.nature: These securities are directly held by Silver Lake Partners III Cayman (AIV III), L.P. ("SLP III Cayman"). F4 · ownership.nature: Silver Lake Technology Associates III Cayman, L.P. ("SLTA III Cayman") is the general partner of SLP III Cayman and SLTI III Cayman. Silver Lake (Offshore) AIV GP III, Ltd. is the general partner of SLTA III Cayman. F8 · ownership.nature: Messrs. Kenneth Hao, James Davidson, Ajay Shah and Paul Mercadante each serves as a director of the Issuer, and also each serves as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and each may be deemed to beneficially own any securities beneficially owned by SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. but each disclaims beneficial ownership of such securities, except to the extent of his respective pecuniary interest therein. F9 · ownership.nature: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document |
| December 04, 2017 Filed Dec 6, 2017 17:47 UTC |
GOLDBERG BRUCE MVP, Chief Legal Officer
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SaleOrdinary Shares | 11,128 | $32.10 | $357,208.80 |
DisclosureSEC source: 0000950103-17-012216 · dp83918_4-goldberg.xml · nonDerivative · entry 1 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,690 F1 · price: The reporting person was a selling shareholder under a registration statement on Form S-1 of the Issuer. This price represents the public offering price of $33.50 per share less the underwriters' discount. F2 · balance_after: Includes restricted stock units. This total has been corrected to reflect an inadvertent overstatement by 20 shares in the amount reported in the reporting person's Form 3 filed May 23, 2017. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.