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Nasdaq · USD

PENG

Penguin Solutions, Inc.

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Tapewire entity
4377
SEC CIK
0001616533
Parsed reports
444

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
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202603
Mar 202601
Apr 202605
May 2026010
Jun 2026010
Jul 202602
Aug 202603
Sep 202600
Oct 202600

Latest available

Insider transactions

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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 dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
October 20, 2022 Filed Oct 25, 2022 01:12 UTC
Rizvi KenSVP and CFO
Tax withholdingOrdinary Shares 5,179 $13.00 $67,327.00
Disclosure

SEC source: 0001140361-22-038272 · form4.xml · nonDerivative · entry 1

Rizvi Ken · CIK 0001846472 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,556

F1 · kind: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted share units. No shares were sold.

Read SEC document
October 20, 2022 Filed Oct 25, 2022 01:12 UTC
Kuykendall AnneVP, General Counsel
Tax withholdingOrdinary Shares 1,758 $13.00 $22,854.00
Disclosure

SEC source: 0001140361-22-038270 · form4.xml · nonDerivative · entry 1

Kuykendall Anne · CIK 0001855880 · VP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,179

F1 · kind: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted share units. No shares were sold.

Read SEC document
October 06, 2022 Filed Feb 2, 2023 23:53 UTC GiftOrdinary Shares 3,236 $0.00 $0.00
Disclosure

SEC source: 0001567619-23-001732 · doc1.xml · nonDerivative · entry 2

HERSCHER PENNY · CIK 0001232019 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Trust

Disclosed balance after: 3,236

F2 · ownership.direct: Shares held by the 2001 Herscher Family Trust U/A/D 6/14/2001, for which the Reporting Person and her spouse serve as co-trustees.

F2 · ownership.nature: Shares held by the 2001 Herscher Family Trust U/A/D 6/14/2001, for which the Reporting Person and her spouse serve as co-trustees.

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October 06, 2022 Filed Feb 2, 2023 23:53 UTC GiftOrdinary Shares 3,236 $0.00 $0.00
Disclosure

SEC source: 0001567619-23-001732 · doc1.xml · nonDerivative · entry 1

HERSCHER PENNY · CIK 0001232019 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,248

Read SEC document
October 03, 2022 Filed Oct 6, 2022 00:37 UTC SaleOrdinary Shares 2,156 $16.11 $34,733.16
Disclosure

SEC source: 0001567619-22-018288 · doc1.xml · nonDerivative · entry 1

HERSCHER PENNY · CIK 0001232019 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,484

F1 · shares: The transactions reported herein were effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person.

F2 · balance_after: This amount includes 2,248 shares of a restricted stock unit award scheduled to vest on January 31, 2023.

F3 · balance_after: On February 1, 2022, the Issuer paid a share dividend of one (1) ordinary share for every one (1) ordinary share owned to shareholders of record as of January 25, 2022. The numbers in this Form 4 have been adjusted for the share dividend, which was exempt from Section 16 of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16a-9 thereunder.

Read SEC document
September 26, 2022 Filed Sep 28, 2022 20:13 UTC
Pellegrino ThierrySVP, Pres, IPS
GrantOrdinary Shares 24,290 $0.00 $0.00
Disclosure

SEC source: 0001140361-22-035034 · form4.xml · nonDerivative · entry 1

Pellegrino Thierry · CIK 0001855572 · SVP, Pres, IPS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,020

F1 · shares: Represents restricted stock units ("RSUs") that will vest quarterly over a four-year period starting on January 20, 2023.

Read SEC document
September 26, 2022 Filed Sep 28, 2022 20:13 UTC
Pacheco Jack AEVP, COO, Pres, Mem Solutions
GrantOrdinary Shares 24,290 $0.00 $0.00
Disclosure

SEC source: 0001140361-22-035033 · form4.xml · nonDerivative · entry 1

Pacheco Jack A · CIK 0001344018 · EVP, COO, Pres, Mem Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,331

F1 · shares: Represents restricted stock units ("RSUs") that will vest quarterly over a four-year period starting on January 20, 2023.

Read SEC document
September 26, 2022 Filed Sep 29, 2022 00:14 UTC
Adams MarkDirector · President and CEO
GrantOrdinary Shares 53,979 $0.00 $0.00
Disclosure

SEC source: 0001140361-22-035035 · form4.xml · nonDerivative · entry 1

Adams Mark · CIK 0001349123 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 969,234

F1 · shares: Represents restricted stock units ("RSUs") that will vest quarterly over a four-year period starting on January 20, 2023.

Read SEC document
September 26, 2022 Filed Sep 29, 2022 00:14 UTC
Kuykendall AnneVP, General Counsel
GrantOrdinary Shares 21,591 $0.00 $0.00
Disclosure

SEC source: 0001140361-22-035036 · form4.xml · nonDerivative · entry 1

Kuykendall Anne · CIK 0001855880 · VP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,937

F1 · shares: Represents restricted stock units ("RSUs") that will vest quarterly over a four-year period starting on January 20, 2023.

Read SEC document
September 26, 2022 Filed Sep 29, 2022 00:13 UTC
Rizvi KenSVP and CFO
GrantOrdinary Shares 32,387 $0.00 $0.00
Disclosure

SEC source: 0001140361-22-035032 · form4.xml · nonDerivative · entry 1

Rizvi Ken · CIK 0001846472 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,735

F1 · shares: Represents restricted stock units ("RSUs") that will vest quarterly over a four-year period starting on January 20, 2023.

Read SEC document
September 02, 2022 Filed Sep 7, 2022 22:33 UTC
Clark Joseph GatesPresident, LED Solutions
GrantOrdinary Shares 25,900 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-017142 · doc1.xml · nonDerivative · entry 1

Clark Joseph Gates · CIK 0001944970 · President, LED Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,361

F1 · shares: Represents restricted stock units ("RSUs") that will vest quarterly over a four-year period starting on October 20, 2022.

Read SEC document
August 30, 2022 Filed Sep 1, 2022 21:27 UTC GrantOrdinary Shares 9,564 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-016942 · doc1.xml · nonDerivative · entry 1

Papermaster Mark D · CIK 0001449649 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,564

F1 · shares: Represents a restricted stock unit award that is scheduled to vest as to 6,376 units on August 30, 2023 and as to the remainder of the award on January 31, 2024.

Read SEC document
July 26, 2022 Filed Jul 28, 2022 23:15 UTC
Adams MarkDirector · President and CEO
PurchaseOrdinary Shares 10,000 $18.10 $180,980.00
Disclosure

SEC source: 0001567619-22-014613 · doc1.xml · nonDerivative · entry 1

Adams Mark · CIK 0001349123 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 915,255

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $17.845 to $18.24, inclusive. The reporting person undertakes to provide to SMART Global Holdings, Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

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July 26, 2022 Filed Jul 28, 2022 23:18 UTC
Rizvi KenSVP and CFO
PurchaseOrdinary Shares 4,250 $17.85 $75,862.50
Disclosure

SEC source: 0001567619-22-014614 · doc1.xml · nonDerivative · entry 1

Rizvi Ken · CIK 0001846472 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,348

Read SEC document
July 20, 2022 Filed Jul 22, 2022 19:56 UTC
Pellegrino ThierrySVP, Pres, IPS
Tax withholdingOrdinary Shares 1,588 $18.40 $29,219.20
Disclosure

SEC source: 0001140361-22-026773 · form4.xml · nonDerivative · entry 1

Pellegrino Thierry · CIK 0001855572 · SVP, Pres, IPS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,730

F1 · kind: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted share units. No shares were sold.

Read SEC document
July 20, 2022 Filed Jul 22, 2022 23:56 UTC
Demby ClaudeSVP, Pres, LED Solutions
Tax withholdingOrdinary Shares 4,168 $18.40 $76,691.20
Disclosure

SEC source: 0001140361-22-026776 · form4.xml · nonDerivative · entry 2

Demby Claude · CIK 0001855640 · SVP, Pres, LED Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,864

F2 · kind: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of performance share units. No shares were sold.

Read SEC document
July 20, 2022 Filed Jul 22, 2022 23:56 UTC
Demby ClaudeSVP, Pres, LED Solutions
Tax withholdingOrdinary Shares 5,468 $18.40 $100,611.20
Disclosure

SEC source: 0001140361-22-026776 · form4.xml · nonDerivative · entry 1

Demby Claude · CIK 0001855640 · SVP, Pres, LED Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,032

F1 · kind: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted share units. No shares were sold.

Read SEC document
July 20, 2022 Filed Jul 22, 2022 19:56 UTC
Pacheco Jack AEVP, COO, Pres, Mem Solutions
Tax withholdingOrdinary Shares 1,577 $18.40 $29,016.80
Disclosure

SEC source: 0001140361-22-026772 · form4.xml · nonDerivative · entry 1

Pacheco Jack A · CIK 0001344018 · EVP, COO, Pres, Mem Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,041

F1 · kind: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted share units. No shares were sold.

Read SEC document
July 20, 2022 Filed Jul 22, 2022 23:56 UTC
Adams MarkDirector · President and CEO
Tax withholdingOrdinary Shares 13,944 $18.40 $256,569.60
Disclosure

SEC source: 0001140361-22-026775 · form4.xml · nonDerivative · entry 1

Adams Mark · CIK 0001349123 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 905,255

F1 · kind: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted share awards. No shares were sold.

Read SEC document
July 20, 2022 Filed Jul 22, 2022 23:56 UTC
Rizvi KenSVP and CFO
Tax withholdingOrdinary Shares 3,088 $18.40 $56,819.20
Disclosure

SEC source: 0001140361-22-026774 · form4.xml · nonDerivative · entry 1

Rizvi Ken · CIK 0001846472 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,098

F1 · kind: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted share units. No shares were sold.

Read SEC document
July 20, 2022 Filed Jul 22, 2022 23:56 UTC
Kuykendall AnneVP, General Counsel
Tax withholdingOrdinary Shares 846 $18.40 $15,566.40
Disclosure

SEC source: 0001140361-22-026771 · form4.xml · nonDerivative · entry 1

Kuykendall Anne · CIK 0001855880 · VP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,346

F1 · kind: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted share units. No shares were sold.

Read SEC document
April 22, 2022 Filed Apr 26, 2022 23:47 UTC
Demby ClaudeSVP, Pres, LED Solutions
SaleOrdinary Shares 27,365 $23.93 $654,918.34
Disclosure

SEC source: 0001628280-22-010645 · wf-form4_165101681010283.xml · nonDerivative · entry 1

Demby Claude · CIK 0001855640 · SVP, Pres, LED Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,500

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.89 to $24.11, 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 range set forth in this footnote.

Read SEC document
April 20, 2022 Filed Apr 22, 2022 23:48 UTC
Demby ClaudeSVP, Pres, LED Solutions
Tax withholdingOrdinary Shares 21,843 $24.51 $535,371.93
Disclosure

SEC source: 0001628280-22-010049 · wf-form4_165067128354786.xml · nonDerivative · entry 1

Demby Claude · CIK 0001855640 · SVP, Pres, LED Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,865

F1 · kind: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted share units. No shares were sold.

F2 · balance_after: On February 1, 2022, the Issuer paid a share dividend of one (1) ordinary share for every one (1) ordinary share owned to shareholders of record as of January 25, 2022. The numbers in this Form 4 have been adjusted for the share dividend, which was exempt from Section 16 of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16a-9 thereunder.

Read SEC document
April 20, 2022 Filed Apr 22, 2022 19:48 UTC
Pellegrino ThierrySVP, Pres, IPS
Tax withholdingOrdinary Shares 6,352 $24.51 $155,687.52
Disclosure

SEC source: 0001628280-22-010050 · wf-form4_165067130202889.xml · nonDerivative · entry 1

Pellegrino Thierry · CIK 0001855572 · SVP, Pres, IPS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,318

F1 · kind: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted share units. No shares were sold.

F2 · balance_after: On February 1, 2022, the Issuer paid a share dividend of one (1) ordinary share for every one (1) ordinary share owned to shareholders of record as of January 25, 2022. The numbers in this Form 4 have been adjusted for the share dividend, which was exempt from Section 16 of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16a-9 thereunder.

Read SEC document
April 20, 2022 Filed Apr 22, 2022 23:49 UTC
Adams MarkDirector · President and CEO
Tax withholdingOrdinary Shares 13,945 $24.51 $341,791.95
Disclosure

SEC source: 0001628280-22-010053 · wf-form4_165067135817410.xml · nonDerivative · entry 1

Adams Mark · CIK 0001349123 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 919,199

F1 · kind: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted share awards. No shares were sold.

F2 · balance_after: On February 1, 2022, the Issuer paid a share dividend of one (1) ordinary share for every one (1) ordinary share owned to shareholders of record as of January 25, 2022. The numbers in this Form 4 have been adjusted for the share dividend, which was exempt from Section 16 of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16a-9 thereunder.

Read SEC document
April 20, 2022 Filed Apr 22, 2022 19:49 UTC
Pacheco Jack AEVP, COO, Pres, Mem Solutions
Tax withholdingOrdinary Shares 5,448 $24.51 $133,530.48
Disclosure

SEC source: 0001628280-22-010052 · wf-form4_165067133913076.xml · nonDerivative · entry 1

Pacheco Jack A · CIK 0001344018 · EVP, COO, Pres, Mem Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,618

F1 · kind: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted share units. No shares were sold.

F2 · balance_after: On February 1, 2022, the Issuer paid a share dividend of one (1) ordinary share for every one (1) ordinary share owned to shareholders of record as of January 25, 2022. The numbers in this Form 4 have been adjusted for the share dividend, which was exempt from Section 16 of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16a-9 thereunder.

Read SEC document
April 20, 2022 Filed Apr 22, 2022 23:48 UTC
Rizvi KenSVP and CFO
Tax withholdingOrdinary Shares 12,338 $24.51 $302,404.38
Disclosure

SEC source: 0001628280-22-010051 · wf-form4_165067132020082.xml · nonDerivative · entry 1

Rizvi Ken · CIK 0001846472 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,186

F1 · kind: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted share units. No shares were sold.

F2 · balance_after: On February 1, 2022, the Issuer paid a share dividend of one (1) ordinary share for every one (1) ordinary share owned to shareholders of record as of January 25, 2022. The numbers in this Form 4 have been adjusted for the share dividend, which was exempt from Section 16 of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16a-9 thereunder.

Read SEC document
April 20, 2022 Filed Apr 22, 2022 23:47 UTC
Kuykendall AnneVP, General Counsel
Tax withholdingOrdinary Shares 3,464 $24.51 $84,902.64
Disclosure

SEC source: 0001628280-22-010048 · wf-form4_165067126224336.xml · nonDerivative · entry 1

Kuykendall Anne · CIK 0001855880 · VP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,192

F1 · kind: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted share units. No shares were sold.

F2 · balance_after: On February 1, 2022, the Issuer paid a share dividend of one (1) ordinary share for every one (1) ordinary share owned to shareholders of record as of January 25, 2022. The numbers in this Form 4 have been adjusted for the share dividend, which was exempt from Section 16 of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16a-9 thereunder.

Read SEC document
February 11, 2022 Filed Feb 15, 2022 20:50 UTC
Ingram BryanDirector
GrantOrdinary Shares 5,304 $0.00 $0.00
Disclosure

SEC source: 0001140361-22-005638 · form4.xml · nonDerivative · entry 1

Ingram Bryan · CIK 0001469468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,860

F1 · shares: Represents a restricted stock unit award that is scheduled to vest in full on the earlier of February 11, 2023 or the date of the annual meeting of the shareholders at which the reporting person's term expires, subject to the reporting person's continued service through the vesting date.

F2 · balance_after: On February 1, 2022, the Issuer paid a share dividend of one (1) ordinary share for every one (1) ordinary share owned to shareholders of record as of January 25, 2022. The numbers in this Form 4 have been adjusted for the share dividend, which was exempt from Section 16 of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16a-9 thereunder.

Read SEC document
February 11, 2022 Filed Feb 15, 2022 20:50 UTC
FURR RANDY WDirector
GrantOrdinary Shares 5,304 $0.00 $0.00
Disclosure

SEC source: 0001140361-22-005637 · form4.xml · nonDerivative · entry 1

FURR RANDY W · CIK 0001245699 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,964

F1 · shares: Represents a restricted stock unit award that is scheduled to vest in full on the earlier of February 11, 2023 or the date of the annual meeting of the shareholders at which the reporting person's term expires, subject to the reporting person's continued service through the vesting date.

F2 · balance_after: On February 1, 2022, the Issuer paid a share dividend of one (1) ordinary share for every one (1) ordinary share owned to shareholders of record as of January 25, 2022. The numbers in this Form 4 have been adjusted for the share dividend, which was exempt from Section 16 of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16a-9 thereunder.

Read SEC document
February 11, 2022 Filed Feb 16, 2022 01:50 UTC GrantOrdinary Shares 5,304 $0.00 $0.00
Disclosure

SEC source: 0001140361-22-005639 · form4.xml · nonDerivative · entry 1

NAYYAR SANDEEP · CIK 0001230307 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,776

F1 · shares: Represents a restricted stock unit award that is scheduled to vest in full on the earlier of February 11, 2023 or the date of the annual meeting of the shareholders at which the reporting person's term expires, subject to the reporting person's continued service through the vesting date.

F2 · balance_after: On February 1, 2022, the Issuer paid a share dividend of one (1) ordinary share for every one (1) ordinary share owned to shareholders of record as of January 25, 2022. The numbers in this Form 4 have been adjusted for the share dividend, which was exempt from Section 16 of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16a-9 thereunder.

Read SEC document
February 11, 2022 Filed Feb 16, 2022 01:51 UTC GrantOrdinary Shares 5,304 $0.00 $0.00
Disclosure

SEC source: 0001140361-22-005640 · form4.xml · nonDerivative · entry 1

Straub Maximiliane C · CIK 0001696393 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,306

F1 · shares: Represents a restricted stock unit award that is scheduled to vest in full on the earlier of February 11, 2023 or the date of the annual meeting of the shareholders at which the reporting person's term expires, subject to the reporting person's continued service through the vesting date.

F2 · balance_after: On February 1, 2022, the Issuer paid a share dividend of one (1) ordinary share for every one (1) ordinary share owned to shareholders of record as of January 25, 2022. The numbers in this Form 4 have been adjusted for the share dividend, which was exempt from Section 16 of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16a-9 thereunder.

Read SEC document
January 20, 2022 Filed Jan 24, 2022 20:08 UTC
SHAH AJAYDirector
Tax withholdingOrdinary Shares 3,019 $61.22 $184,823.18
Disclosure

SEC source: 0001567619-22-001620 · doc1.xml · nonDerivative · entry 1

SHAH AJAY · CIK 0001008036 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,889

F1 · kind: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted share units. No shares were sold.

Read SEC document
January 20, 2022 Filed Jan 24, 2022 20:12 UTC
Pacheco Jack AEVP, COO, Pres, Mem Solutions
SaleOrdinary Shares 2,602 $61.06 $158,878.12
Disclosure

SEC source: 0001567619-22-001621 · doc1.xml · nonDerivative · entry 1

Pacheco Jack A · CIK 0001344018 · EVP, COO, Pres, Mem Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,533

F1 · kind: Shares sold to satisfy tax withholding obligations in connection with the vesting of restricted share units.

Read SEC document
January 20, 2022 Filed Jan 25, 2022 01:07 UTC
Adams MarkDirector · President and CEO
SaleOrdinary Shares 7,223 $59.83 $432,178.82
Disclosure

SEC source: 0001567619-22-001619 · doc1.xml · nonDerivative · entry 1

Adams Mark · CIK 0001349123 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 466,572

F1 · kind: Shares sold to satisfy tax withholding obligations in connection with the vesting of restricted ordinary shares.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.465 to $60.25, inclusive. The reporting person undertakes to provide to SMART Global Holdings, Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
November 01, 2021 Filed Nov 2, 2021 21:23 UTC
SHAH AJAYDirector
SaleOrdinary Shares 20,478 $54.09 $1,107,556.73
Disclosure

SEC source: 0001567619-21-019232 · doc1.xml · nonDerivative · entry 2

SHAH AJAY · CIK 0001008036 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 222,513

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $54.00 to $54.44, inclusive. The reporting person undertakes to provide to SMART Global Holdings, Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2 · ownership.nature: These securities are held through trusts and other entities for the benefit of Mr. Shah and his family. This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, that Mr. Shah is the beneficial owner of any equity securities in excess of his pecuniary interest, and Mr. Shah disclaims beneficial ownership of the securities reported herein, except to the extent of his pecuniary interest therein, if any.

Read SEC document
October 29, 2021 Filed Nov 2, 2021 21:23 UTC
SHAH AJAYDirector
SaleOrdinary Shares 4,522 $53.50 $241,927.00
Disclosure

SEC source: 0001567619-21-019232 · doc1.xml · nonDerivative · entry 1

SHAH AJAY · CIK 0001008036 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 242,991

F2 · ownership.nature: These securities are held through trusts and other entities for the benefit of Mr. Shah and his family. This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, that Mr. Shah is the beneficial owner of any equity securities in excess of his pecuniary interest, and Mr. Shah disclaims beneficial ownership of the securities reported herein, except to the extent of his pecuniary interest therein, if any.

Read SEC document
October 28, 2021 Filed Oct 28, 2021 18:10 UTC
SHAH AJAYDirector
SaleOrdinary Shares 10,229 $53.05 $542,682.21
Disclosure

SEC source: 0001567619-21-018917 · doc1.xml · nonDerivative · entry 3

SHAH AJAY · CIK 0001008036 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 247,513

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $53.00 to $53.30, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F4 · ownership.nature: These securities are held through trusts and other entities for the benefit of Mr. Shah and his family. This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, that Mr. Shah is the beneficial owner of any equity securities in excess of his pecuniary interest, and Mr. Shah disclaims beneficial ownership of the securities reported herein, except to the extent of his pecuniary interest therein, if any.

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October 27, 2021 Filed Oct 28, 2021 18:10 UTC
SHAH AJAYDirector
SaleOrdinary Shares 46,588 $51.02 $2,376,705.46
Disclosure

SEC source: 0001567619-21-018917 · doc1.xml · nonDerivative · entry 2

SHAH AJAY · CIK 0001008036 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 257,742

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $51.00 to $51.14, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F4 · ownership.nature: These securities are held through trusts and other entities for the benefit of Mr. Shah and his family. This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, that Mr. Shah is the beneficial owner of any equity securities in excess of his pecuniary interest, and Mr. Shah disclaims beneficial ownership of the securities reported herein, except to the extent of his pecuniary interest therein, if any.

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October 26, 2021 Filed Oct 28, 2021 18:10 UTC
SHAH AJAYDirector
SaleOrdinary Shares 43,183 $51.03 $2,203,783.95
Disclosure

SEC source: 0001567619-21-018917 · doc1.xml · nonDerivative · entry 1

SHAH AJAY · CIK 0001008036 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 304,330

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $51.00 to $51.37, inclusive. The reporting person undertakes to provide to SMART Global Holdings, Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F4 · ownership.nature: These securities are held through trusts and other entities for the benefit of Mr. Shah and his family. This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, that Mr. Shah is the beneficial owner of any equity securities in excess of his pecuniary interest, and Mr. Shah disclaims beneficial ownership of the securities reported herein, except to the extent of his pecuniary interest therein, if any.

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October 20, 2021 Filed Oct 22, 2021 20:52 UTC
SHAH AJAYDirector
Tax withholdingOrdinary Shares 3,280 $51.94 $170,363.20
Disclosure

SEC source: 0001567619-21-018625 · doc1.xml · nonDerivative · entry 1

SHAH AJAY · CIK 0001008036 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,908

F1 · price: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted share units. No shares were sold.

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October 20, 2021 Filed Oct 22, 2021 20:50 UTC
Pacheco Jack AEVP, COO, Pres, Mem Solutions
Tax withholdingOrdinary Shares 3,966 $51.94 $205,994.04
Disclosure

SEC source: 0001567619-21-018624 · doc1.xml · nonDerivative · entry 2

Pacheco Jack A · CIK 0001344018 · EVP, COO, Pres, Mem Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,135

F3 · shares: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted share units. No shares were sold.

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October 20, 2021 Filed Oct 23, 2021 00:49 UTC
Adams MarkDirector · President and CEO
Tax withholdingOrdinary Shares 43,381 $51.94 $2,253,209.14
Disclosure

SEC source: 0001567619-21-018623 · doc1.xml · nonDerivative · entry 1

Adams Mark · CIK 0001349123 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 473,795

F1 · shares: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted ordinary shares. No shares were sold.

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October 18, 2021 Filed Oct 18, 2021 19:55 UTC
PATEL MUKESHDirector
SaleOrdinary Shares 7,186 $52.03 $373,858.12
Disclosure

SEC source: 0001567619-21-018420 · doc1.xml · nonDerivative · entry 5

PATEL MUKESH · CIK 0001008034 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held through Invati Capital LLC

Disclosed balance after: 59,653

F5 · price: This transaction was executed in multiple trades at prices ranging from $52.00 to $52.47. 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.

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October 18, 2021 Filed Oct 18, 2021 19:55 UTC
PATEL MUKESHDirector
SaleOrdinary Shares 19,773 $51.09 $1,010,163.02
Disclosure

SEC source: 0001567619-21-018420 · doc1.xml · nonDerivative · entry 4

PATEL MUKESH · CIK 0001008034 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held through Invati Capital LLC

Disclosed balance after: 66,839

F4 · price: This transaction was executed in multiple trades at prices ranging from $51.00 to $51.50. 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.

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October 15, 2021 Filed Oct 18, 2021 19:55 UTC
PATEL MUKESHDirector
SaleOrdinary Shares 10,443 $53.56 $559,285.31
Disclosure

SEC source: 0001567619-21-018420 · doc1.xml · nonDerivative · entry 3

PATEL MUKESH · CIK 0001008034 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held through Invati Capital LLC

Disclosed balance after: 86,612

F3 · price: This transaction was executed in multiple trades at prices ranging from $53.50 to $53.71. 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.

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October 14, 2021 Filed Oct 18, 2021 19:55 UTC
PATEL MUKESHDirector
SaleOrdinary Shares 9,557 $54.01 $516,145.85
Disclosure

SEC source: 0001567619-21-018420 · doc1.xml · nonDerivative · entry 2

PATEL MUKESH · CIK 0001008034 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held through Invati Capital LLC

Disclosed balance after: 97,055

F2 · price: This transaction was executed in multiple trades at prices ranging from $54.00 to $54.11. 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.

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October 14, 2021 Filed Oct 18, 2021 19:55 UTC
PATEL MUKESHDirector
SaleOrdinary Shares 50,000 $51.97 $2,598,310.00
Disclosure

SEC source: 0001567619-21-018420 · doc1.xml · nonDerivative · entry 1

PATEL MUKESH · CIK 0001008034 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held through Invati Capital LLC

Disclosed balance after: 106,612

F1 · price: This transaction was executed in multiple trades at prices ranging from $51.85 to $52.48. 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.

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October 05, 2021 Filed Oct 7, 2021 20:22 UTC
Pacheco Jack AEVP, COO, Pres, Mem Solutions
Tax withholdingOrdinary Shares 743 $44.08 $32,751.44
Disclosure

SEC source: 0001567619-21-018083 · doc1.xml · nonDerivative · entry 1

Pacheco Jack A · CIK 0001344018 · EVP, COO, Pres, Mem Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,101

F1 · shares: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted stock units. No shares were sold.

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October 01, 2021 Filed Oct 5, 2021 19:14 UTC
Pellegrino ThierrySVP, Pres, IPS
GrantOrdinary Shares 6,326 $0.00 $0.00
Disclosure

SEC source: 0001140361-21-033783 · form4.xml · nonDerivative · entry 1

Pellegrino Thierry · CIK 0001855572 · SVP, Pres, IPS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,335

F1 · shares: Reflects an RSU award that will vest as to 25% on October 20, 2022, and the remaining shares will vest quarterly over approximately the next three years, subject to the recipient's continued employment through each applicable vesting date.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.