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Penguin Solutions, Inc. filed a Form S-3 registration statement describing its corporate structure, securities and risks. The company changed its name from SMART Global Holdings, Inc. to Penguin Solutions, Inc. in October 2024 to reflect a strategic shift toward AI infrastructure, advanced memory enterprise solutions and high-performance computing. On June 30, 2025 the company completed a U.S. Domestication, redomiciling its parent from the Cayman Islands to Delaware and exchanging each Cayman ordinary share and convertible preferred share for equivalent U.S. shares.
The prospectus discloses authorized capital of 200,000,000 common shares ($0.03 par) and 30,000,000 preferred shares ($0.03 par). Common shares carry one vote per share and are not convertible. The document describes Issued Convertible Preferred Stock that ranks senior to common stock and accrues cumulative dividends at 6.000% per annum, payable quarterly beginning August 15, 2025, with specific conversion and redemption mechanics summarized in the Certificate of Designation. The prospectus incorporates by reference several SEC filings, including the 2024 annual report and multiple 2024–2025 periodic reports and current reports.
Anthony George Frey, SVP and Chief Revenue Officer of Penguin Solutions, Inc. (PENG), reported an award of 51,858 restricted stock units (RSUs) on 08/25/2025. The RSUs were granted at no cash price and are shown as directly beneficially owned following the grant. The RSUs vest 25% on October 20, 2026, with the remaining 75% vesting quarterly in 12 equal installments thereafter, subject to continued employment through each vesting date. The Form 4 was signed on behalf of Mr. Frey on 08/27/2025.
Penguin Solutions, Inc. (PENG) filed an initial Form 3 reporting Anthony George Frey as a director and as SVP and Chief Revenue Officer. The filing states the event date 08/25/2025 and explicitly declares that no securities are beneficially owned by the reporting person. The filing is signed by an attorney-in-fact on 08/27/2025 and includes an exhibit: Exhibit 24.1 - Power of Attorney.
PENGUIN SOLUTIONS, INC. (Nasdaq: PENG, f/k/a SMART Global Holdings – SGH) filed an 8-K dated 28 Jul 2025 announcing several leadership changes.
- Item 5.02: Pete Manca has ceased serving as SVP & President, Advanced Computing. Separation benefits are governed by his amended offer letter referenced in the 20 Dec 2024 proxy.
- Item 7.01: A press release (Ex. 99.1) discloses two incoming executives: Tony Frey joins as SVP & Chief Revenue Officer effective 25 Aug 2025, and Ted Gillick becomes SVP, Strategy & Corporate Development effective 4 Aug 2025. The release is furnished, not filed, and therefore is not subject to Exchange Act §18 liability.
No financial results, guidance, or transaction details are included. The filing is limited to governance updates and does not revise prior financial statements.