Penguin Solutions, Inc. 10-Q

Item 5. Other Information Not applicable. 37 Table of Contents Item 6. Exhibits INDEX TO EXHIBITS Incorporated by Reference Exhibit No. Description Filed Herewith Form File No. Exhibit Filing Date 3.1 Second Amended and Restated Memorandum and Articles of Association of SMART Global Holdings, Inc. 8-K 001-38102 3.1 03/31/2020 4.1 Description of Securities Registered Under Section 12 of the Exchange Act 10-K 001-38102 4.1 10/25/2021 10.1* Consulting Agreement dated December 9, 2021 by and between SMART Global Holdings, Inc. and Ajay Shah 10-Q 001-38102 10.1 01/04/2022 10.2 Credit Agreement, dated as of February 7, 2022, by and among SMART Global Holdings, Inc., SMART Modular Technologies, Inc., the lenders party thereto and Citizens Bank, N.A., as Administrative Agent, Collateral Agent and an Issuing Bank 8-K 001-38102 10.1 02/08/2022 31.1 Certification of Principal Executive Officer pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as adopted pursuant to Section 302(a) of the Sarbanes-Oxley Act of 2002 X 31.2 Certification of Principal Financial Officer pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as adopted pursuant to Section 302(a) of the Sarbanes-Oxley Act of 2002 X 32.1 Certification of Principal Executive Officer pursuant 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 X 32.2 Certification of Principal Financial Officer pursuant 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 X 101.INS Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because XBRL tags are embedded within the Inline XBRL document X 101.SCH Inline XBRL Taxonomy Extension Schema Document X 101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document X 101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document X 101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document X 101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document X 104 Cover Page Interactive Data File (formatted as inline XBRL with applicable taxonomy extension information contained in Exhibits 101) X * Constitutes a management contract or compensatory plan or arrangement. 38 Table of Contents SIGNATURES Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. SMART Global Holdings, Inc. Date: April, 5, 2022 By: /s/ Mark Adams Mark Adams President and Chief Executive Officer Date: April, 5, 2022 By: /s/ Ken Rizvi Ken Rizvi Senior Vice President and Chief Financial Officer 39