- Statement of Changes in Beneficial Ownership (4)
02 Maio 2011 - 7:47PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Expires:
February 28, 2011
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Moyer John H
|
2. Issuer Name
and
Ticker or Trading Symbol
SMART Modular Technologies (WWH), Inc.
[
SMOD
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
VP - Human Resources
|
(Last)
(First)
(Middle)
C/O SMART MODULAR TECHNOLOGIES, INC., 39870 EUREKA DR.
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/28/2011
|
(Street)
NEWARK, CA 94560
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
(1)
|
4/28/2011
|
|
M
|
|
32000
|
A
|
$2.84
|
77000
(2)
|
D
|
|
Common Stock
(1)
|
4/28/2011
|
|
S
|
|
32000
|
D
|
$9.20
|
45000
|
D
|
|
Common Stock
(1)
|
4/28/2011
|
|
S
|
|
10000
|
D
|
$9.2002
|
35000
|
D
|
|
Common Stock
(1)
|
4/29/2011
|
|
M
|
|
19666
|
A
|
$2.84
|
54666
|
D
|
|
Common Stock
(1)
|
4/29/2011
|
|
M
|
|
15833
|
A
|
$5.20
|
70499
|
D
|
|
Common Stock
(1)
|
4/29/2011
|
|
M
|
|
4812
|
A
|
$6.26
|
75311
|
D
|
|
Common Stock
(1)
|
4/29/2011
|
|
S
|
|
40311
|
D
|
$9.1492
(3)
|
35000
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Stock Option (right to buy)
|
$2.84
|
4/28/2011
|
|
M
|
|
|
32000
|
(4)
|
9/22/2018
|
Common Stock
(1)
|
32000
|
$0.00
|
48000
|
D
|
|
Stock Option (right to buy)
|
$2.84
|
4/29/2011
|
|
M
|
|
|
19666
|
(4)
|
9/22/2018
|
Common Stock
(1)
|
19666
|
$0.00
|
28334
|
D
|
|
Stock Option (right to buy)
|
$5.20
|
4/29/2011
|
|
M
|
|
|
15833
|
(5)
|
9/28/2019
|
Common Stock
(1)
|
15833
|
$0.00
|
24167
|
D
|
|
Stock Option (right to buy)
|
$6.26
|
4/29/2011
|
|
M
|
|
|
4812
|
(6)
|
9/27/2020
|
Common Stock
(1)
|
4812
|
$0.00
|
28188
|
D
|
|
Explanation of Responses:
|
(
1)
|
Also referred to as ordinary shares
|
(
2)
|
A grant of a performance unit in September 2008 was previously voluntarily reported in Table I. These units were forfeited for no value because performance conditions were not met. Therefore, the total number of securities reported as beneficially owned has been decreased by 40,000 shares, which is reflected on this Form 4.
|
(
3)
|
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.1400 to $9.1501, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the specified range
|
(
4)
|
The option becomes exercisable in 48 equal monthly installments beginning October 23, 2008
|
(
5)
|
The option becomes exercisable in 48 equal monthly installments beginning October 29, 2009
|
(
6)
|
The option becomes exercisable in 48 equal monthly installments beginning October 28, 2010
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Moyer John H
C/O SMART MODULAR TECHNOLOGIES, INC.
39870 EUREKA DR.
NEWARK, CA 94560
|
|
|
VP - Human Resources
|
|
Signatures
|
/s/ Trevor A. Dutcher, attorney-in-fact for John Moyer
|
|
5/2/2011
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Smart Modular (NASDAQ:SMOD)
Gráfico Histórico do Ativo
De Nov 2024 até Dez 2024
Smart Modular (NASDAQ:SMOD)
Gráfico Histórico do Ativo
De Dez 2023 até Dez 2024
Notícias em tempo-real sobre Smart Modular Technologies (Wwh), Inc. (MM) da NASDAQ bolsa de valores: 0 artigos recentes
Mais Notícias de