Shah Ajay's Form 4 filing
Penguin Solutions, Inc. (PENG) · filed Jul 13, 2021
- Accession no.
- 0000899243-21-028266
- Filed
- Jul 13, 2021, 9:44 PM ET
- Trade date
- Jul 13, 2021
- Filing delay
- Same day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions. Open-market sales total $151.5M. It was filed on the trade date.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Shah AjayCIK 0001008036 | Director |
| 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 (Offshore) AIV GP III, Ltd.CIK 0001487793 | 10% Owner |
| Silver Lake Technology Associates III Cayman, L.P.CIK 0001623274 | 10% Owner |
| Silver Lake Sumeru (Offshore) Aiv GP, Ltd.CIK 0001696894 | 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 |
| SLTA Sumeru (GP) Cayman, L.P.CIK 0001706811 | 10% Owner |
| Silver Lake Technology Investors Sumeru Cayman, L.P.CIK 0001706812 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 13, 2021 | Ordinary Shares | SSaleDisposed | −1,987,251 | $50.50F1 | −$100,356,175.5 | 1,532,933 | Indirect | |
| Jul 13, 2021 | Ordinary Shares | JOtherDisposed | −6,024 | $0.00 | $0 | 1,526,909 | Indirect | |
| Jul 13, 2021 | Ordinary Shares | SSaleDisposed | −10,742 | $50.50F1 | −$542,471 | 8,229 | Indirect | |
| Jul 13, 2021 | Ordinary Shares | SSaleDisposed | −989,953 | $50.50F1 | −$49,992,626.5 | 758,335 | Indirect | |
| Jul 13, 2021 | Ordinary Shares | SSaleDisposed | −12,054 | $50.50F1 | −$608,727 | 9,233 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
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.
Referenced by the price of 4 transactions in Table I.
Remarks
The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act.