Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BLACKLINE, INC.BL · Entity 4556 | 10% owner | March 15, 2018 | March 19, 2018 |
| Penguin Solutions, Inc.SGH · Entity 4377 | Director | January 20, 2022 | January 24, 2022 |
| Roadzen Inc.RDZN · Entity 6661 | Director | September 15, 2025 | January 07, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
BLACKLINE, INC.
Report date March 15, 2018 · Filed March 19, 2018
Jointly reported with SLTA Sumeru (GP), L.L.C., Silver Lake Group, L.L.C., Silver Lake Technology Associates Sumeru, L.P., Silver Lake Sumeru Fund LP, Silver Lake Technology Investors Sumeru, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectHeld through Silver Lake Sumeru Fund, L.P. | 7,516,748 |
Reported balance
After 2018-03-15 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-03-15 · Sale · Disposed 4,916,099 · Balance 7,516,748 F1: Represents shares of BlackLine, Inc.'s (the "Issuer") Common Stock sold in an underwritten secondary offering. F2: Represents the sale price to the underwriter in the secondary offering of $40.75 per share. F3: Silver Lake Group, L.L.C. ("SLG") and Ajay Shah ("Shah") are the managing members of SLTA Sumeru (GP), L.L.C. ("SLTA"), which is the general partner of Silver Lake Technology Associates Sumeru, L.P. ("SLT LP"), which is the general partner of Silver Lake Sumeru Fund, L.P. ("SLSF"), which directly holds these shares of Common Stock. F5: As the general partner of each of SLSF and SLTI, SLT LP may be deemed to share voting and dispositive power with respect to the Common Stock directly held by SLSF and SLTI (the "Silver Lake Sumeru Shares"). As the general partner of SLT LP, SLTA may be deemed to share voting and dispositive power with respect to the Silver Lake Sumeru Shares. As the managing members of SLTA, SLG and Shah may each be deemed to share voting and dispositive power with respect to the Silver Lake Sumeru Shares. F6: 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. F7: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. |
| Common StockSEC Table I · non-derivative | IndirectHeld through Silver Lake Technology Investors Sumeru, L.P. | 67,125 |
Reported balance
After 2018-03-15 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2018-03-15 · Sale · Disposed 43,901 · Balance 67,125 F1: Represents shares of BlackLine, Inc.'s (the "Issuer") Common Stock sold in an underwritten secondary offering. F2: Represents the sale price to the underwriter in the secondary offering of $40.75 per share. F4: SLG and Shah are the managing members of SLTA, which is the general partner of SLT LP, which is the general partner of Silver Lake Technology Investors Sumeru, L.P. ("SLTI", and collectively with SLG, Shah, SLTA, SLT LP and SLSF, the "Reporting Persons"), which directly holds these shares of Common Stock. F5: As the general partner of each of SLSF and SLTI, SLT LP may be deemed to share voting and dispositive power with respect to the Common Stock directly held by SLSF and SLTI (the "Silver Lake Sumeru Shares"). As the general partner of SLT LP, SLTA may be deemed to share voting and dispositive power with respect to the Silver Lake Sumeru Shares. As the managing members of SLTA, SLG and Shah may each be deemed to share voting and dispositive power with respect to the Silver Lake Sumeru Shares. F6: 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. F7: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of BlackLine, Inc.'s (the "Issuer") Common Stock sold in an underwritten secondary offering.
F2: Represents the sale price to the underwriter in the secondary offering of $40.75 per share.
F3: Silver Lake Group, L.L.C. ("SLG") and Ajay Shah ("Shah") are the managing members of SLTA Sumeru (GP), L.L.C. ("SLTA"), which is the general partner of Silver Lake Technology Associates Sumeru, L.P. ("SLT LP"), which is the general partner of Silver Lake Sumeru Fund, L.P. ("SLSF"), which directly holds these shares of Common Stock.
F4: SLG and Shah are the managing members of SLTA, which is the general partner of SLT LP, which is the general partner of Silver Lake Technology Investors Sumeru, L.P. ("SLTI", and collectively with SLG, Shah, SLTA, SLT LP and SLSF, the "Reporting Persons"), which directly holds these shares of Common Stock.
F5: As the general partner of each of SLSF and SLTI, SLT LP may be deemed to share voting and dispositive power with respect to the Common Stock directly held by SLSF and SLTI (the "Silver Lake Sumeru Shares"). As the general partner of SLT LP, SLTA may be deemed to share voting and dispositive power with respect to the Silver Lake Sumeru Shares. As the managing members of SLTA, SLG and Shah may each be deemed to share voting and dispositive power with respect to the Silver Lake Sumeru Shares.
F6: 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.
F7: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests.
Penguin Solutions, Inc.
Report date January 20, 2022 · Filed January 24, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 51,889 |
Reported balance
After 2022-01-20 transaction · row 1
1 source rowRow 1 · 2022-01-20 · Tax withholding · Disposed 3,019 · Balance 51,889 F1: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted share units. No shares were sold. |
| Ordinary SharesSEC Table I · non-derivative | IndirectSee footnote | 222,513 |
Reported balance
Holding disclosure · report date 2022-01-20 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 222,513 F2: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted share units. No shares were sold.
F2: 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.
Roadzen Inc.
Report date September 15, 2025 · Filed January 07, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.00 · Expires 2032-09-15 | Direct | 152,732 |
Reported balance
After 2025-09-15 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2025-09-15 · Grant · Acquired 152,732 · Balance 152,732 |
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 15, 2025 Filed Jan 7, 2026 16:00 UTC | Roadzen Inc. RDZN · Entity 6661 | GrantStock Option (right to buy) · Derivative | 152,732 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001493152-26-000785 · ownership.xml · derivative · entry 1 SHAH AJAY · CIK 0001008036 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 152,732 Underlying: Ordinary Shares · 152,732 shares Expires 2032-09-15 Read SEC document |
| April 22, 2024 Filed Apr 24, 2024 18:30 UTC | Roadzen Inc. RDZN · Entity 6661 | OtherWarrants (right to buy) · Derivative | 50,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-24-047792 · ownership.xml · derivative · entry 1 SHAH AJAY · CIK 0001008036 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · The securities are held by KSFP. Disclosed balance after: 50,000 Underlying: Ordinary shares · 50,000 shares Expires 2031-03-28 F1 · derivative.exercise_price: The exercise price of the warrants is equal to 80% of the lower of (i) the volume-weighted average price ("VWAP") of the ordinary shares of the Issuer over the 60 trading days subsequent to the first loan funding under the Notes (as defined below), (ii) the opening price of the Issuer's ordinary shares in any public offering of straight equity securities of the Issuer occurring within six months after the issue date of the warrants and (iii) the VWAP of the Issuer's ordinary shares over the 60 trading days immediately prior to the Vesting Date (as defined below). F2 · kind: Krishnan-Shah Family Partners LP ("KSFP") received the warrants in connection with a loan made by KSFP to the Issuer on March 28, 2024, as evidenced by a senior secured promissory note issued by the Issuer (together with a senior secured promissory note issued by the Issuer to another person on that date, the "Notes"). F2 · price: Krishnan-Shah Family Partners LP ("KSFP") received the warrants in connection with a loan made by KSFP to the Issuer on March 28, 2024, as evidenced by a senior secured promissory note issued by the Issuer (together with a senior secured promissory note issued by the Issuer to another person on that date, the "Notes"). F3 · derivative.exercise_date: The warrants are exercisable in full on March 28, 2025, or earlier under certain circumstances (as applicable, the "Vesting Date"). F4 · ownership.nature: Ajay B. Shah & Lata K. Shah 1996 Trust LP is the general partner of KSFP (the "General Partner"). The reporting person and his wife, Mrs. Lata K. Shah, are the trustees of the General Partner and have voting and dispositive control over the securities held by KSFP. Accordingly, Mr. Shah and Mrs. Shah may be deemed to beneficially own the securities held by KSFP. Read SEC document |
| December 13, 2023 Filed Dec 15, 2023 11:12 UTC | Roadzen Inc. RDZN · Entity 6661 | PurchaseOrdinary Shares | 10,000 | $3.10 | $31,000.00 |
DisclosureSEC source: 0000950170-23-070618 · ownership.xml · nonDerivative · entry 2 SHAH AJAY · CIK 0001008036 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 487,399 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.96 to $3.15, inclusive. F2 · ownership.nature: The securities are held by Krishnan-Shah Family Partners LP. Ajay B. Shah & Lata K. Shah 1996 Trust LP is the general partner of Krishnan-Shah Family Partners LP (the "General Partner"). Mr. Shah and his wife, Mrs. Lata K. Shah, are the trustees of the General Partner and have voting and dispositive control over the securities held by Krishnan-Shah Family Partners LP. Accordingly, Mr. Shah and Mrs. Shah may be deemed to beneficially own the securities held by Krishnan-Shah Family Partners LP. Read SEC document |
| December 12, 2023 Filed Dec 15, 2023 11:12 UTC | Roadzen Inc. RDZN · Entity 6661 | PurchaseOrdinary Shares | 5,000 | $3.08 | $15,400.00 |
DisclosureSEC source: 0000950170-23-070618 · ownership.xml · nonDerivative · entry 1 SHAH AJAY · CIK 0001008036 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 477,399 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.96 to $3.09, inclusive. The reporting person undertakes to provide to Roadzen Inc., any security holder of Roadzen Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnotes (1) and (3) to this Form 4. F2 · ownership.nature: The securities are held by Krishnan-Shah Family Partners LP. Ajay B. Shah & Lata K. Shah 1996 Trust LP is the general partner of Krishnan-Shah Family Partners LP (the "General Partner"). Mr. Shah and his wife, Mrs. Lata K. Shah, are the trustees of the General Partner and have voting and dispositive control over the securities held by Krishnan-Shah Family Partners LP. Accordingly, Mr. Shah and Mrs. Shah may be deemed to beneficially own the securities held by Krishnan-Shah Family Partners LP. Read SEC document |
| September 20, 2023 Filed Sep 22, 2023 14:44 UTC | Roadzen Inc. RDZN · Entity 6661 | OtherOrdinary Share | 472,399 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-23-049383 · ownership.xml · nonDerivative · entry 1 SHAH AJAY · CIK 0001008036 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 472,399 F1 · price: On September 20, 2023, the Issuer, formerly known as Vahanna Tech Edge Acquisition I Corp., acquired Roadzen, Inc. ("Roadzen") pursuant to an Agreement and Plan of Merger, as amended, by and among the Issuer, Roadzen and certain other parties thereto (the "Merger Agreement"). Pursuant to the Merger Agreement, each outstanding share of Roadzen common stock, including common stock issued upon conversion of each outstanding share of Roadzen preferred stock, held by the Reporting Person was cancelled and converted into the right to receive 27.21 ordinary shares of the Issuer ("Issuer ordinary shares"). F2 · ownership.nature: The securities are held by Krishnan-Shah Family Partners LP. Ajay B. Shah & Lata K. Shah 1996 Trust LP is the general partner of Krishnan-Shah Family Partners LP (the "General Partner"). Mr. Shah and his wife, Mrs. Lata K. Shah are the trustees of the General Partner and have voting and dispositive control over the securities held by Krishnan-Shah Family Partners LP. Accordingly, Mr. Shah and Mrs. Shah may be deemed to beneficially own the securities held by Krishnan-Shah Family Partners LP. Read SEC document |
| January 20, 2022 Filed Jan 24, 2022 20:08 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Tax withholdingOrdinary Shares | 3,019 | $61.22 | $184,823.18 |
DisclosureSEC 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 |
| November 01, 2021 Filed Nov 2, 2021 21:23 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 20,478 | $54.09 | $1,107,556.73 |
DisclosureSEC 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 | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 4,522 | $53.50 | $241,927.00 |
DisclosureSEC 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 | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 10,229 | $53.05 | $542,682.21 |
DisclosureSEC 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. Read SEC document |
| October 27, 2021 Filed Oct 28, 2021 18:10 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 46,588 | $51.02 | $2,376,705.46 |
DisclosureSEC 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. Read SEC document |
| October 26, 2021 Filed Oct 28, 2021 18:10 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 43,183 | $51.03 | $2,203,783.95 |
DisclosureSEC 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. Read SEC document |
| October 20, 2021 Filed Oct 22, 2021 20:52 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Tax withholdingOrdinary Shares | 3,280 | $51.94 | $170,363.20 |
DisclosureSEC 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. Read SEC document |
| July 30, 2021 Filed Aug 3, 2021 16:50 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 25,000 | $46.57 | $1,164,250.00 |
DisclosureSEC source: 0000899243-21-031286 · doc4.xml · nonDerivative · entry 1 SHAH AJAY · CIK 0001008036 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 347,513 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.41 to $46.72, inclusive. The reporting persons undertake to provide to SMART Global Holdings, Inc. (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. 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 |
| July 28, 2021 Filed Jul 29, 2021 21:04 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 38,353 | $45.09 | $1,729,336.77 |
DisclosureSEC source: 0000899243-21-030769 · doc4.xml · nonDerivative · entry 2 SHAH AJAY · CIK 0001008036 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 372,513 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.00 to $45.28, inclusive. The reporting persons undertake 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. F4 · ownership.nature: These securities are held through trusts and other entities for the benefit of Mr. Shah and his family. F6 · 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, 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 |
| July 27, 2021 Filed Jul 29, 2021 21:04 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 11,647 | $45.00 | $524,115.00 |
DisclosureSEC source: 0000899243-21-030769 · doc4.xml · nonDerivative · entry 1 SHAH AJAY · CIK 0001008036 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 410,866 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.00 to $45.02, inclusive. The reporting persons undertake to provide to SMART Global Holdings, Inc. (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. F3 · balance_after: Includes ordinary shares of the Issuer received by trusts and other entities for the benefit of Mr. Shah and his family in connection with the previously reported distribution of ordinary shares of the Issuer by Silver Lake Partners III Cayman (AIV III), L.P. and Silver Lake Sumeru Fund Cayman, L.P. and certain of their respective affiliates to certain direct and indirect equityholders. F4 · ownership.nature: These securities are held through trusts and other entities for the benefit of Mr. Shah and his family. F6 · 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, 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 |
| July 20, 2021 Filed Jul 22, 2021 19:55 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | GiftOrdinary Shares | 4,657 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-029545 · doc4.xml · nonDerivative · entry 3 SHAH AJAY · CIK 0001008036 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 410,306 F1 · kind: Reflects shares withheld from delivery by SMART Global Holdings, Inc. (the "Issuer") in connection with the satisfaction of tax withholding obligations upon vesting of a portion of the restricted stock units granted to Mr. Shah in May 2019. No shares were sold by Mr. Shah. The shares delivered upon vesting were transferred by Mr. Shah to a trust for the benefit of Mr. Shah and his family. F3 · 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, 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 |
| July 20, 2021 Filed Jul 22, 2021 19:55 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | GiftOrdinary Shares | 4,657 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-029545 · doc4.xml · nonDerivative · entry 2 SHAH AJAY · CIK 0001008036 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,188 F1 · kind: Reflects shares withheld from delivery by SMART Global Holdings, Inc. (the "Issuer") in connection with the satisfaction of tax withholding obligations upon vesting of a portion of the restricted stock units granted to Mr. Shah in May 2019. No shares were sold by Mr. Shah. The shares delivered upon vesting were transferred by Mr. Shah to a trust for the benefit of Mr. Shah and his family. F2 · ownership.direct: These securities are held by Mr. Shah directly. Read SEC document |
| July 20, 2021 Filed Jul 22, 2021 19:55 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Tax withholdingOrdinary Shares | 3,655 | $48.16 | $176,024.80 |
DisclosureSEC source: 0000899243-21-029545 · doc4.xml · nonDerivative · entry 1 SHAH AJAY · CIK 0001008036 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,845 F1 · kind: Reflects shares withheld from delivery by SMART Global Holdings, Inc. (the "Issuer") in connection with the satisfaction of tax withholding obligations upon vesting of a portion of the restricted stock units granted to Mr. Shah in May 2019. No shares were sold by Mr. Shah. The shares delivered upon vesting were transferred by Mr. Shah to a trust for the benefit of Mr. Shah and his family. F2 · ownership.direct: These securities are held by Mr. Shah directly. Read SEC document |
| July 13, 2021 Filed Jul 13, 2021 21:44 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 12,054 | $50.50 | $608,727.00 |
DisclosureSEC source: 0000899243-21-028266 · doc4.xml · nonDerivative · entry 5 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 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 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Technology Investors Sumeru Cayman, L.P. Disclosed balance after: 9,233 F1 · price: This amount represents a public offering price of $51.00 per share of Ordinary Shares, par value $0.03 per share (the "Ordinary Shares"), of SMART Global Holdings, Inc. (the "Issuer"), less an underwriting discount of $0.50 per share for shares sold in an underwritten public offering. F7 · ownership.nature: These securities are directly held by Silver Lake Technology Investors Sumeru Cayman, L.P. ("SLTI Sumeru Cayman"). F8 · 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.") F9 · ownership.nature: Mr. Ajay Shah serves as a director of the Issuer and serves as a director of SL Sumeru Offshore Ltd. and may be deemed to beneficially own securities reported herein but disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein. F12 · 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 |
| July 13, 2021 Filed Jul 13, 2021 21:44 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 989,953 | $50.50 | $49,992,626.50 |
DisclosureSEC source: 0000899243-21-028266 · 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 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 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: 758,335 F1 · price: This amount represents a public offering price of $51.00 per share of Ordinary Shares, par value $0.03 per share (the "Ordinary Shares"), of SMART Global Holdings, Inc. (the "Issuer"), less an underwriting discount of $0.50 per share for shares sold in an underwritten public offering. F6 · ownership.nature: These securities are directly held by Silver Lake Sumeru Fund Cayman, L.P. ("SLS Cayman"). F8 · 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.") F9 · ownership.nature: Mr. Ajay Shah serves as a director of the Issuer and serves as a director of SL Sumeru Offshore Ltd. and may be deemed to beneficially own securities reported herein but disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein. F12 · 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 |
| July 13, 2021 Filed Jul 13, 2021 21:44 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 10,742 | $50.50 | $542,471.00 |
DisclosureSEC source: 0000899243-21-028266 · 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 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 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: 8,229 F1 · price: This amount represents a public offering price of $51.00 per share of Ordinary Shares, par value $0.03 per share (the "Ordinary Shares"), of SMART Global Holdings, Inc. (the "Issuer"), less an underwriting discount of $0.50 per share for shares sold in an underwritten public offering. F4 · ownership.nature: These securities are directly held by Silver Lake Technology Investors III Cayman, L.P. ("SLTI III Cayman"). F5 · 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. F9 · ownership.nature: Mr. Ajay Shah serves as a director of the Issuer and serves as a director of SL Sumeru Offshore Ltd. and may be deemed to beneficially own securities reported herein but disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein. F12 · 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 |
| July 13, 2021 Filed Jul 13, 2021 21:44 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | OtherOrdinary Shares | 6,024 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-028266 · 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 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 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: 1,526,909 F2 · kind: Represents an in-kind distribution of Ordinary Shares of the Issuer by Silver Lake Partners III Cayman (AIV III), L.P. ("SLP III Cayman") and certain of its affiliates to certain direct and indirect equityholders. F3 · ownership.nature: These securities are directly held by SLP III Cayman. F5 · 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. F9 · ownership.nature: Mr. Ajay Shah serves as a director of the Issuer and serves as a director of SL Sumeru Offshore Ltd. and may be deemed to beneficially own securities reported herein but disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein. F12 · 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 |
| July 13, 2021 Filed Jul 13, 2021 21:44 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 1,987,251 | $50.50 | $100,356,175.50 |
DisclosureSEC source: 0000899243-21-028266 · 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 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 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: 1,532,933 F1 · price: This amount represents a public offering price of $51.00 per share of Ordinary Shares, par value $0.03 per share (the "Ordinary Shares"), of SMART Global Holdings, Inc. (the "Issuer"), less an underwriting discount of $0.50 per share for shares sold in an underwritten public offering. F3 · ownership.nature: These securities are directly held by SLP III Cayman. F5 · 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. F9 · ownership.nature: Mr. Ajay Shah serves as a director of the Issuer and serves as a director of SL Sumeru Offshore Ltd. and may be deemed to beneficially own securities reported herein but disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein. F12 · 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 |
| April 26, 2021 Filed Apr 28, 2021 17:00 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 141,975 | $50.50 | $7,169,737.50 |
DisclosureSEC source: 0000899243-21-017186 · doc4.xml · nonDerivative · entry 5 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 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 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 405,649 F8 · ownership.nature: These securities are held through trusts and investment vehicles for the benefit of Mr. Shah and his family. F10 · 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 |
| April 26, 2021 Filed Apr 28, 2021 17:00 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 7,451 | $50.50 | $376,275.50 |
DisclosureSEC source: 0000899243-21-017186 · 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 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 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: 21,287 F5 · ownership.nature: These securities are directly held by Silver Lake Technology Investors Sumeru Cayman, L.P. ("SLTI Sumeru Cayman"). F6 · 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."). F7 · ownership.nature: Mr. Ajay Shah serves as a director of the Issuer and serves as a director of SL Sumeru Offshore Ltd. and may be deemed to beneficially own securities reported herein but disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein. F10 · 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 |
| April 26, 2021 Filed Apr 28, 2021 17:00 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 611,891 | $50.50 | $30,900,495.50 |
DisclosureSEC source: 0000899243-21-017186 · 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 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 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: 1,748,288 F4 · ownership.nature: These securities are directly held by Silver Lake Sumeru Fund Cayman, L.P. ("SLS Cayman"). F6 · 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."). F7 · ownership.nature: Mr. Ajay Shah serves as a director of the Issuer and serves as a director of SL Sumeru Offshore Ltd. and may be deemed to beneficially own securities reported herein but disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein. F10 · 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 |
| April 26, 2021 Filed Apr 28, 2021 17:00 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 6,639 | $50.50 | $335,269.50 |
DisclosureSEC source: 0000899243-21-017186 · 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 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 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: 18,971 F2 · ownership.nature: These securities are directly held by Silver Lake Technology Investors III Cayman, L.P. ("SLTI III Cayman"). F3 · 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. F7 · ownership.nature: Mr. Ajay Shah serves as a director of the Issuer and serves as a director of SL Sumeru Offshore Ltd. and may be deemed to beneficially own securities reported herein but disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein. F10 · 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 |
| April 26, 2021 Filed Apr 28, 2021 17:00 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 1,232,044 | $50.50 | $62,218,222.00 |
DisclosureSEC source: 0000899243-21-017186 · 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 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 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: 3,520,184 F1 · ownership.nature: These securities are directly held by Silver Lake Partners III Cayman (AIV III), L.P. ("SLP III Cayman"). F3 · 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. F7 · ownership.nature: Mr. Ajay Shah serves as a director of the Issuer and serves as a director of SL Sumeru Offshore Ltd. and may be deemed to beneficially own securities reported herein but disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein. F10 · 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 |
| April 20, 2021 Filed Apr 22, 2021 16:31 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | GiftOrdinary Shares | 5,439 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-016751 · doc4.xml · nonDerivative · entry 3 SHAH AJAY · CIK 0001008036 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 547,624 F1 · kind: Reflects shares withheld from delivery by SMART Global Holdings, Inc. (the "Issuer") in connection with the satisfaction of tax withholding obligations upon vesting of a portion of the restricted stock units granted to Mr. Shah in May 2019. No shares were sold by Mr. Shah. The shares delivered upon vesting were transferred by Mr. Shah to a trust for the benefit of Mr. Shah and his family. F3 · 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, 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 |
| April 20, 2021 Filed Apr 22, 2021 16:31 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | GiftOrdinary Shares | 5,439 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-016751 · doc4.xml · nonDerivative · entry 2 SHAH AJAY · CIK 0001008036 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,500 F1 · kind: Reflects shares withheld from delivery by SMART Global Holdings, Inc. (the "Issuer") in connection with the satisfaction of tax withholding obligations upon vesting of a portion of the restricted stock units granted to Mr. Shah in May 2019. No shares were sold by Mr. Shah. The shares delivered upon vesting were transferred by Mr. Shah to a trust for the benefit of Mr. Shah and his family. F2 · ownership.direct: These securities are held by Mr. Shah directly. Read SEC document |
| April 20, 2021 Filed Apr 22, 2021 16:31 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Tax withholdingOrdinary Shares | 2,874 | $55.33 | $159,018.42 |
DisclosureSEC source: 0000899243-21-016751 · doc4.xml · nonDerivative · entry 1 SHAH AJAY · CIK 0001008036 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,939 F1 · kind: Reflects shares withheld from delivery by SMART Global Holdings, Inc. (the "Issuer") in connection with the satisfaction of tax withholding obligations upon vesting of a portion of the restricted stock units granted to Mr. Shah in May 2019. No shares were sold by Mr. Shah. The shares delivered upon vesting were transferred by Mr. Shah to a trust for the benefit of Mr. Shah and his family. F2 · ownership.direct: These securities are held by Mr. Shah directly. Read SEC document |
| January 20, 2021 Filed Jan 22, 2021 17:53 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | GiftOrdinary Shares | 5,234 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-002988 · doc4.xml · nonDerivative · entry 3 SHAH AJAY · CIK 0001008036 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 542,185 F1 · kind: Reflects shares withheld from delivery by SMART Global Holdings, Inc. (the "Issuer") in connection with the satisfaction of tax withholding obligations upon vesting of a portion of the restricted stock units granted to Mr. Shah in May 2019. No shares were sold by Mr. Shah. The shares delivered upon vesting were transferred by Mr. Shah to a trust for the benefit of Mr. Shah and his family. F3 · 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, 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 |
| January 20, 2021 Filed Jan 22, 2021 17:53 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | GiftOrdinary Shares | 5,234 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-002988 · doc4.xml · nonDerivative · entry 2 SHAH AJAY · CIK 0001008036 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,813 F1 · kind: Reflects shares withheld from delivery by SMART Global Holdings, Inc. (the "Issuer") in connection with the satisfaction of tax withholding obligations upon vesting of a portion of the restricted stock units granted to Mr. Shah in May 2019. No shares were sold by Mr. Shah. The shares delivered upon vesting were transferred by Mr. Shah to a trust for the benefit of Mr. Shah and his family. F2 · ownership.direct: These securities are held by Mr. Shah directly. Read SEC document |
| January 20, 2021 Filed Jan 22, 2021 17:53 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Tax withholdingOrdinary Shares | 3,078 | $41.28 | $127,059.84 |
DisclosureSEC source: 0000899243-21-002988 · doc4.xml · nonDerivative · entry 1 SHAH AJAY · CIK 0001008036 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,047 F1 · kind: Reflects shares withheld from delivery by SMART Global Holdings, Inc. (the "Issuer") in connection with the satisfaction of tax withholding obligations upon vesting of a portion of the restricted stock units granted to Mr. Shah in May 2019. No shares were sold by Mr. Shah. The shares delivered upon vesting were transferred by Mr. Shah to a trust for the benefit of Mr. Shah and his family. F2 · ownership.direct: These securities are held by Mr. Shah directly. Read SEC document |
| January 07, 2021 Filed Jan 8, 2021 17:03 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 4,411 | $40.30 | $177,763.30 |
DisclosureSEC source: 0000899243-21-001174 · doc4.xml · nonDerivative · entry 8 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 · Executive Chairman 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: 28,738 F5 · ownership.nature: These securities are directly held by Silver Lake Technology Investors Sumeru Cayman, L.P. ("SLTI Sumeru Cayman"). F6 · 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."). F7 · ownership.nature: Messrs. Kenneth Hao and Ajay Shah each serves as a director of the Issuer, and Mr. Shah serves as Executive Chairman of the Board, 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. F10 · 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 |
| January 07, 2021 Filed Jan 8, 2021 17:03 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 3,970 | $40.30 | $159,991.00 |
DisclosureSEC source: 0000899243-21-001174 · doc4.xml · nonDerivative · entry 7 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 · Executive Chairman 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: 33,149 F5 · ownership.nature: These securities are directly held by Silver Lake Technology Investors Sumeru Cayman, L.P. ("SLTI Sumeru Cayman"). F6 · 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."). F7 · ownership.nature: Messrs. Kenneth Hao and Ajay Shah each serves as a director of the Issuer, and Mr. Shah serves as Executive Chairman of the Board, 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. F10 · 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 |
| January 07, 2021 Filed Jan 8, 2021 17:03 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 362,256 | $40.30 | $14,598,916.80 |
DisclosureSEC source: 0000899243-21-001174 · 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 · Executive Chairman 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: 2,360,179 F4 · ownership.nature: These securities are directly held by Silver Lake Sumeru Fund Cayman, L.P. ("SLS Cayman"). F6 · 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."). F7 · ownership.nature: Messrs. Kenneth Hao and Ajay Shah each serves as a director of the Issuer, and Mr. Shah serves as Executive Chairman of the Board, 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. F10 · 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 |
| January 07, 2021 Filed Jan 8, 2021 17:03 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 326,030 | $40.30 | $13,139,009.00 |
DisclosureSEC source: 0000899243-21-001174 · 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 · Executive Chairman 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: 2,722,435 F4 · ownership.nature: These securities are directly held by Silver Lake Sumeru Fund Cayman, L.P. ("SLS Cayman"). F6 · 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."). F7 · ownership.nature: Messrs. Kenneth Hao and Ajay Shah each serves as a director of the Issuer, and Mr. Shah serves as Executive Chairman of the Board, 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. F10 · 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 |
| January 07, 2021 Filed Jan 8, 2021 17:03 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 3,930 | $40.30 | $158,379.00 |
DisclosureSEC source: 0000899243-21-001174 · 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 · Executive Chairman 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: 25,610 F2 · ownership.nature: These securities are directly held by Silver Lake Technology Investors III Cayman, L.P. ("SLTI III Cayman"). F3 · 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. F7 · ownership.nature: Messrs. Kenneth Hao and Ajay Shah each serves as a director of the Issuer, and Mr. Shah serves as Executive Chairman of the Board, 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. F10 · 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 |
| January 07, 2021 Filed Jan 8, 2021 17:03 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 3,537 | $40.30 | $142,541.10 |
DisclosureSEC source: 0000899243-21-001174 · 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 · Executive Chairman 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: 29,540 F2 · ownership.nature: These securities are directly held by Silver Lake Technology Investors III Cayman, L.P. ("SLTI III Cayman"). F3 · 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. F7 · ownership.nature: Messrs. Kenneth Hao and Ajay Shah each serves as a director of the Issuer, and Mr. Shah serves as Executive Chairman of the Board, 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. F10 · 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 |
| January 07, 2021 Filed Jan 8, 2021 17:03 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 729,403 | $40.30 | $29,394,940.90 |
DisclosureSEC source: 0000899243-21-001174 · 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 · Executive Chairman 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: 4,752,228 F1 · ownership.nature: These securities are directly held by Silver Lake Partners III Cayman (AIV III), L.P. ("SLP III Cayman"). F3 · 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. F7 · ownership.nature: Messrs. Kenneth Hao and Ajay Shah each serves as a director of the Issuer, and Mr. Shah serves as Executive Chairman of the Board, 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. F10 · 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 |
| January 07, 2021 Filed Jan 8, 2021 17:03 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 656,463 | $40.30 | $26,455,458.90 |
DisclosureSEC source: 0000899243-21-001174 · 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 · Executive Chairman 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: 5,481,631 F1 · ownership.nature: These securities are directly held by Silver Lake Partners III Cayman (AIV III), L.P. ("SLP III Cayman"). F3 · 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. F7 · ownership.nature: Messrs. Kenneth Hao and Ajay Shah each serves as a director of the Issuer, and Mr. Shah serves as Executive Chairman of the Board, 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. F10 · 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 |
| October 20, 2020 Filed Oct 22, 2020 17:23 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | GiftOrdinary Shares | 165,962 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-029047 · doc4.xml · nonDerivative · entry 4 SHAH AJAY · CIK 0001008036 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 536,951 F1 · kind: Reflects shares withheld from delivery by SMART Global Holdings, Inc. (the "Issuer") in connection with the satisfaction of tax withholding obligations upon vesting of a portion of the restricted stock units granted to Mr. Shah in May 2019 and the vesting of restricted ordinary shares and performance stock awards granted in May 2020, which the Issuer determined to fully vest on October 20, 2020. No shares were sold by Mr. Shah. The shares delivered or released upon vesting, along with certain other shares held directly by Mr. Shah were transferred by Mr. Shah to a trust for the benefit of Mr. Shah and his family. F3 · 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, 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 20, 2020 Filed Oct 22, 2020 17:23 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | GiftOrdinary Shares | 165,962 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-029047 · doc4.xml · nonDerivative · entry 3 SHAH AJAY · CIK 0001008036 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,125 F1 · kind: Reflects shares withheld from delivery by SMART Global Holdings, Inc. (the "Issuer") in connection with the satisfaction of tax withholding obligations upon vesting of a portion of the restricted stock units granted to Mr. Shah in May 2019 and the vesting of restricted ordinary shares and performance stock awards granted in May 2020, which the Issuer determined to fully vest on October 20, 2020. No shares were sold by Mr. Shah. The shares delivered or released upon vesting, along with certain other shares held directly by Mr. Shah were transferred by Mr. Shah to a trust for the benefit of Mr. Shah and his family. F2 · ownership.direct: These securities are held by Mr. Shah directly. Read SEC document |
| October 20, 2020 Filed Oct 22, 2020 17:23 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Tax withholdingOrdinary Shares | 133,863 | $25.14 | $3,365,315.82 |
DisclosureSEC source: 0000899243-20-029047 · doc4.xml · nonDerivative · entry 2 SHAH AJAY · CIK 0001008036 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 249,087 F1 · kind: Reflects shares withheld from delivery by SMART Global Holdings, Inc. (the "Issuer") in connection with the satisfaction of tax withholding obligations upon vesting of a portion of the restricted stock units granted to Mr. Shah in May 2019 and the vesting of restricted ordinary shares and performance stock awards granted in May 2020, which the Issuer determined to fully vest on October 20, 2020. No shares were sold by Mr. Shah. The shares delivered or released upon vesting, along with certain other shares held directly by Mr. Shah were transferred by Mr. Shah to a trust for the benefit of Mr. Shah and his family. F2 · ownership.direct: These securities are held by Mr. Shah directly. Read SEC document |
| October 20, 2020 Filed Oct 22, 2020 17:23 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Tax withholdingOrdinary Shares | 4,121 | $25.43 | $104,797.03 |
DisclosureSEC source: 0000899243-20-029047 · doc4.xml · nonDerivative · entry 1 SHAH AJAY · CIK 0001008036 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 382,950 F1 · kind: Reflects shares withheld from delivery by SMART Global Holdings, Inc. (the "Issuer") in connection with the satisfaction of tax withholding obligations upon vesting of a portion of the restricted stock units granted to Mr. Shah in May 2019 and the vesting of restricted ordinary shares and performance stock awards granted in May 2020, which the Issuer determined to fully vest on October 20, 2020. No shares were sold by Mr. Shah. The shares delivered or released upon vesting, along with certain other shares held directly by Mr. Shah were transferred by Mr. Shah to a trust for the benefit of Mr. Shah and his family. F2 · ownership.direct: These securities are held by Mr. Shah directly. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 16:30 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | GrantOrdinary Shares | 90,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-026669 · doc4.xml · nonDerivative · entry 1 SHAH AJAY · CIK 0001008036 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 387,071 F1 · kind: Represents a determination by the Board of Directors of SMART Global Holdings, Inc. (the "Issuer") that the performance conditions applicable to a previous award of 90,000 shares of performance stock have been met. The 90,000 ordinary shares remain subject to time-based vesting conditions, and will vest over a period of approximately 2.5 years, with 34% of the shares vesting on April 20, 2021 and the remaining portion vesting thereafter in equal installments on October 20, 2021, April 20, 2022, October 20, 2022 and April 20, 2023, subject to Mr. Shah's continued service with the Issuer. F2 · ownership.direct: These securities are held by Mr. Shah directly. Read SEC document |
| July 20, 2020 Filed Jul 22, 2020 16:30 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | GiftOrdinary Shares | 5,427 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-020036 · doc4.xml · nonDerivative · entry 3 SHAH AJAY · CIK 0001008036 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 370,989 F1 · kind: Reflects shares withheld from delivery by SMART Global Holdings, Inc. (the "Issuer") in connection with the satisfaction of tax withholding obligations upon vesting of a portion of the restricted stock units granted to Mr. Shah. No shares were sold by Mr. Shah. The shares delivered upon vesting were transferred by Mr. Shah to a trust for the benefit of Mr. Shah and his family. F3 · 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, 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 |
| July 20, 2020 Filed Jul 22, 2020 16:30 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | GiftOrdinary Shares | 5,427 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-020036 · doc4.xml · nonDerivative · entry 2 SHAH AJAY · CIK 0001008036 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 297,071 F1 · kind: Reflects shares withheld from delivery by SMART Global Holdings, Inc. (the "Issuer") in connection with the satisfaction of tax withholding obligations upon vesting of a portion of the restricted stock units granted to Mr. Shah. No shares were sold by Mr. Shah. The shares delivered upon vesting were transferred by Mr. Shah to a trust for the benefit of Mr. Shah and his family. F2 · ownership.direct: These securities are held by Mr. Shah directly. Read SEC document |
| July 20, 2020 Filed Jul 22, 2020 16:30 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Tax withholdingOrdinary Shares | 2,885 | $28.51 | $82,251.35 |
DisclosureSEC source: 0000899243-20-020036 · doc4.xml · nonDerivative · entry 1 SHAH AJAY · CIK 0001008036 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 302,498 F1 · shares: Reflects shares withheld from delivery by SMART Global Holdings, Inc. (the "Issuer") in connection with the satisfaction of tax withholding obligations upon vesting of a portion of the restricted stock units granted to Mr. Shah. No shares were sold by Mr. Shah. The shares delivered upon vesting were transferred by Mr. Shah to a trust for the benefit of Mr. Shah and his family. F1 · price: Reflects shares withheld from delivery by SMART Global Holdings, Inc. (the "Issuer") in connection with the satisfaction of tax withholding obligations upon vesting of a portion of the restricted stock units granted to Mr. Shah. No shares were sold by Mr. Shah. The shares delivered upon vesting were transferred by Mr. Shah to a trust for the benefit of Mr. Shah and his family. F2 · ownership.direct: These securities are held by Mr. Shah directly. 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.