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SEC Form 4

FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number: 3235-0287 Estimated average burden hours per response: 0.5

  

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations
may continue. See Instruction 1(b).

X

Check this box to indicate that a transaction was made pursuant to a contract,
instruction or written plan for the purchase or sale of equity securities of the
issuer that is intended to satisfy the affirmative defense conditions of Rule
10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person*

Goldsteen Mitchell B.

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(Last) (First) (Middle)

C/O SHIMMICK CORPORATION 530 TECHNOLOGY DRIVE, SUITE 300

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(Street)

IRVINE CA 92618

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(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
Shimmick Corp [ SHIM ] 5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X Director X 10% Owner Officer (give title below) Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
12/03/2024 4. If Amendment, Date of Original Filed (Month/Day/Year)
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. Transaction Date (Month/Day/Year) 2A. Deemed
Execution Date, if any (Month/Day/Year) 3. Transaction 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, par
value $0.01 per share 12/03/2024 12/03/2024 S(1) 325,000 D $3.26(2) 21,583,800 I
By GOHO, LLC(3)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities) 1. Title of
Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative
Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any
(Month/Day/Year) 4. Transaction 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 (Month/Day/Year) 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: 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

Explanation of Responses: 1. The price reported in column 4 is a weighted
average price. The shares were disposed in multiple transactions at prices
ranging from $2.86 to $3.61, inclusive. Upon request by the SEC staff, the
issuer, or any security holder of the issuer, full information regarding the
number of shares purchased or sold at each separate price will be provided. 2.
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 sales
plan adopted by the reporting person on August 20, 2024. 3. The reporting person
owns the securities indirectly through GOHO, LLC, of which Mr. Goldsteen is the
sole managing member. Mr. Goldsteen disclaims beneficial ownership of these
securities, except to the extent of any pecuniary interest therein.

/s/ John Carpenter, Power of Attorney for Mitchell B. Goldsteen 12/04/2024 **
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 Number.