SMTC (NASDAQ) files Form 144: insiders list RSU‑vested shares for sale

Rhea-AI Filing Summary

SMTC submitted a Form 144 notice reporting intended sales of Common stock previously acquired through RSU vesting on multiple dates. The filing lists vesting amounts including 1,371 shares (06/09/2021) and 1,322 shares (06/08/2022), among others.

Insights

Corporate Governance Analyst

Routine Rule 144 notice of resale by an insider/entity.

The filing lists multiple RSU vesting events and corresponding share counts, indicating the securities were acquired through compensation vesting on specified dates such as 06/09/2021 and 06/08/2022.

These notices are administrative disclosures; the excerpt does not state transaction timing, proceeds treatment, or purchaser details. Subsequent filings would specify executed dispositions and settlement details if sales occur.

Key Figures

RSU vesting shares: 1,371 shares RSU vesting shares: 1,322 shares RSU vesting shares: 914 shares +2 more

5 metrics

RSU vesting shares 1,371 shares vested 06/09/2021

RSU vesting shares 1,322 shares vested 06/08/2022

RSU vesting shares 914 shares vested 06/10/2020

RSU vesting shares 1,678 shares vested 06/13/2018

RSU vesting shares 215 shares vested 06/12/2019

Key Terms

RSU Vesting, Form 144, Common stock

3 terms

RSU Vesting financial

"Common stock | 06/09/2021 | RSU Vesting | Issuer"

RSU vesting is the process by which restricted stock units — a promise by a company to give shares to an employee — become actual, owned shares over time or when certain goals are met. Investors care because vested shares can dilute existing ownership when issued, and the timing of vesting affects when employees can sell shares, which can influence share supply, insider selling patterns, and company incentives.

Form 144 regulatory

"Filer Information | 144: Filer Information"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Common stock financial

"Securities Information Common stock | UBS Financial Services Inc"

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common stock	UBS Financial Services Inc 1000 Harbor Blvd 3rd Floor Weehawken NJ 07086	5500	907500	89770000	05/28/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common stock	06/09/2021	RSU Vesting	Issuer			1371	06/09/2021	NA
Common stock	06/08/2022	RSU Vesting	Issuer			1322	06/08/2022	NA
Common stock	06/10/2020	RSU Vesting	Issuer			914	06/10/2020	NA
Common stock	06/13/2018	RSU Vesting	Issuer			1678	06/13/2018	NA
Common stock	06/12/2019	RSU Vesting	Issuer			215	06/12/2019	NA

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does SMTC's Form 144 disclose?

It discloses intended sales of Common stock acquired via RSU vesting on several dates. The filing lists vesting share counts, including 1,371 and 1,322, tied to specific vesting dates.

Which RSU vesting examples are shown for SMTC?

Examples shown include RSU vesting of 1,371 shares on 06/09/2021 and 1,322 shares on 06/08/2022. The excerpt lists additional vesting entries with share counts and dates.

Does the Form 144 state when sales will occur for SMTC shares?

The excerpt does not specify sale execution dates or settlement details. It lists vesting events and share counts but does not provide timing for dispositions.

Are proceeds or recipients identified in SMTC's Form 144 excerpt?

The provided excerpt lists securities and vesting amounts but does not identify proceeds recipients or describe the cash‑flow treatment for any sale transactions.