SHIMMICK CORPORATION SEC Filings

Shimmick Corporation's prospectus supplement discloses securities and governance items relevant to a contemplated offering and references key risk factors. The company notes certain emerging-growth-company accommodations under the JOBS Act, including reduced historical financial statement requirements, extended transition for new accounting standards, scaled-back executive compensation disclosures, exemptions from advisory compensation votes and an exemption from auditor attestation of internal control under Section 404. The filing lists 1,865,608 common shares issuable on outstanding options at a weighted-average exercise price of $1.26, 2,594,768 restricted stock units outstanding, and 2,430,608 additional shares reserved under equity plans. The prospectus reiterates extensive operational and market risks, including contract-bidding accuracy, fixed-price contracts, dependency on subcontractors and suppliers, limited customer base, liquidity and covenant risks, cybersecurity, regulatory and geopolitical risks, and potential impacts from inflation and elevated interest rates.

Mitchell B. Goldsteen, a director and 10% owner of Shimmick Corporation (SHIM), sold a total of 25,206 shares under a pre-existing Rule 10b5-1 plan. The Form 4 discloses two dispositions: 10,500 shares on 08/28/2025 at a weighted-average price of $3.18 and 14,706 shares on 08/29/2025 at a weighted-average price of $2.96. After these transactions, the reporting person beneficially owned 21,099,873 shares indirectly through GOHO, LLC, of which he is the sole managing member. The sales were effected pursuant to a 10b5-1 plan adopted on August 20, 2024, and were reported by power of attorney on 09/02/2025.

Shimmick Corporation (SHIM) filed a Form 144 reporting a proposed sale of 14,706 common shares through TD Securities (USA) LLC with an aggregate market value of $43,451.8208/29/2025 and identifies NASDAQ as the exchange. It records that the securities were originally acquired on 12/09/2020 in a private acquisition from GOHO LLC, showing 21,908,800 shares acquired on that date. The filing also discloses numerous recent sales by Mitchell B. Goldsteen of common shares across dates from 05/29/2025 through 08/28/2025, with individual trade amounts and gross proceeds reported.

Shimmick Corporation Form 144 notice reports a proposed sale of 10,500 common shares through TD Securities (USA) LLC with an aggregate market value of $33,393.15 and an approximate sale date of 08/28/2025. The filing shows these shares were acquired on 12/09/2020 in a private acquisition from GOHO LLC, and the issuer had 34,361,459 shares outstanding at the time reported. The document also discloses extensive prior sales by Mitchell B. Goldsteen across many dates in May–August 2025, including a large 30,805-share sale on 08/15/2025 for $68,679.75. The filer affirms no undisclosed material adverse information and provides standard Rule 144 representations.

Mitchell B. Goldsteen, a director and reported 10% owner of Shimmick Corporation (SHIM), sold 9,229 shares of SHIM common stock on 08/27/2025 at a weighted average price of $3.32 per share. The filing states the sales were executed under a Rule 10b5-1 trading plan adopted by the reporting person on 08/20/2024 and that the individual holds 21,125,079 shares indirectly through GOHO, LLC, of which he is the sole managing member. The reported per-share trades occurred at prices ranging from $3.30 to $3.36. The Form 4 was signed by John Carpenter under power of attorney for Mr. Goldsteen.

Shimmick Corporation (SHIM) filed a Form 144 reporting a proposed sale of 9,229 common shares through TD Securities (125 Park Ave, New York) with an aggregate market value of $30,679.04, and an approximate sale date of 08/27/2025 on NASDAQ. The filing shows these shares were originally acquired on 12/09/2020 in a private acquisition from GOHO LLC, and the issuer has 34,361,459 shares outstanding. The filing also lists numerous sales of common shares by Mitchell B. Goldsteen across May–August 2025 with individual trade dates, share amounts, and gross proceeds. The notice includes the standard representation that the seller does not possess undisclosed material adverse information about the issuer.

Todd Wilbur Yoder, Chief Financial Officer of Shimmick Corp (SHIM), reported an insider purchase of common stock. On 08/21/2025 he acquired a total of 2,000 shares at a weighted average price of $2.80 per share, resulting in 2,000 shares beneficially owned directly after the transaction. The Form 4 was signed by John Carpenter as power of attorney on 08/22/2025. The filing notes the shares were bought in multiple transactions at prices ranging from $2.79 to $2.81 and offers to provide breakdowns of individual trades upon request.

Mitchell B. Goldsteen, a director and >10% owner of Shimmick Corporation (SHIM), reported sales of common stock under a Rule 10b5-1 plan. The Form 4 shows 6,300 shares were sold on 08/14/2025 at a weighted average price of $2.11 and 30,805 shares were sold on 08/15/2025 at a weighted average price of $2.23, for a total of 37,105 shares disposed. The filing states Mr. Goldsteen holds indirect beneficial ownership through GOHO, LLC, with reported post-transaction holdings of 21,134,308 to 21,165,113 shares depending on the line reported. The sales were effected pursuant to a plan adopted August 20, 2024, and the Form 4 was signed by power of attorney on 08/18/2025.

Mitchell B. Goldsteen filed a Form 144 indicating a proposed sale of 30,805 shares of common stock of the issuer, to be executed through TD Securities (USA) LLC on 08/15/2025. The filing reports an aggregate market value of $68,679.75 for the shares and total shares outstanding of 35,270,000. The shares being sold were originally acquired on 12/09/2020 in a private acquisition from GOHO, LLC, and the filer previously sold numerous tranches of common stock between 05/21/2025 and 08/14/2025, with the final reported sale on 08/14/2025 matching the proposed 30,805-share transaction. The form includes the standard representation that the seller is not aware of undisclosed material adverse information.