TTM Technologies CEO has 5,331 shares withheld for tax

Accepted by SEC EDGAR 09/03/2026 - 08:06 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

TTM TECHNOLOGIES INC (TTMI) reported that President and CEO Edwin Roks had 5,331 shares of common stock withheld on September 2, 2026 to satisfy tax liability upon the vesting of restricted stock units, in a transaction classified as payment of tax liability by delivering or withholding securities under Rule 16b-3.

The shares were valued at the $115.33 closing price of TTMI common stock on September 1, 2026, and after this withholding Roks directly holds 59,483 shares of TTMI common stock. No Rule 10b5-1 trading plan is indicated.

Insider Trade Summary

Tax Withholding: 5,331 shares

Tax Withholding 1 txn

Insider Roks Edwin

Role President and CEO

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock F1, F2	5,331	$115.33	$615K

Holdings After Transaction: Common Stock — 59,483 shares (Direct)

Footnotes (2)

1. F1. Represents shares withheld for payment of tax liability upon vesting of restricted stock units in accordance with Rule 16b-3.
2. F2. Represents the closing price of the common stock of the Issuer on September 1, 2026.

Key Figures

Shares withheld for taxes: 5,331 shares Per-share value used: $115.33 per share Shares held after transaction: 59,483 shares

3 metrics

Shares withheld for taxes 5,331 shares Withheld September 2, 2026 to pay tax liability on RSU vesting

Per-share value used $115.33 per share Closing price of TTMI common stock on September 1, 2026

Shares held after transaction 59,483 shares Direct TTMI common stock holdings of CEO Edwin Roks after withholding

Key Terms

restricted stock units, Rule 16b-3, payment of tax liability by delivering or withholding securities

3 terms

restricted stock units financial

"shares withheld for payment of tax liability upon vesting of restricted stock units"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

Rule 16b-3 regulatory

"withheld for payment of tax liability upon vesting ... in accordance with Rule 16b-3"

Rule 16b-3 is a Securities and Exchange Commission regulation that exempts certain routine, pre-approved transactions by company insiders from automatic liability for short-term trading profits. It acts like a safe harbor: if an insider follows a formal plan or the board approves specific transactions in advance, profits from buying and selling company stock within six months are not automatically reclaimed. Investors care because the rule clarifies when insider trades are permissible and reduces uncertainty about potential clawbacks.

payment of tax liability by delivering or withholding securities financial

"transaction classified as payment of tax liability by delivering or withholding securities"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What transaction did TTMI’s CEO Edwin Roks report in this Form 4?

Edwin Roks reported that 5,331 TTMI common shares were withheld on September 2, 2026 to pay tax liability upon vesting of restricted stock units, in a non-market transaction categorized as payment of tax liability by delivering or withholding securities.

How many TTMI shares does CEO Edwin Roks hold after this transaction?

After the tax-withholding transaction, Edwin Roks directly holds 59,483 shares of TTMI common stock, as reported in the Form 4 following the September 2, 2026 withholding related to restricted stock unit vesting.

What price per share was used for the TTMI tax-withholding shares?

The withheld shares were valued at $115.33 per share, which represents the closing price of TTMI common stock on September 1, 2026, according to the filing’s footnote.

Was the TTMI Form 4 transaction by Edwin Roks a market sale or a tax payment?

The transaction was reported as payment of tax liability by delivering or withholding securities upon RSU vesting, not as an open-market sale. It is coded as a Form 4 F transaction, with shares withheld rather than sold into the market.

Was a Rule 10b5-1 trading plan involved in Edwin Roks’ TTMI Form 4 transaction?

No. The Form 4 indicates that no Rule 10b5-1 plan was affirmed for this transaction; the document-level 10b5-1 checkbox is not checked, and the footnotes describe only tax withholding upon RSU vesting.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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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).

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^*

Roks Edwin

(Last) (First) (Middle)

200 EAST SANDPOINTE, SUITE 400

(Street)

SANTA ANA CALIFORNIA 92707

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
TTM TECHNOLOGIES INC [ TTMI ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/02/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

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	09/02/2026		F		5,331(1)	D	$115.33(2)	59,483	D

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. Represents shares withheld for payment of tax liability upon vesting of restricted stock units in accordance with Rule 16b-3.

2. Represents the closing price of the common stock of the Issuer on September 1, 2026.

	/s/ Daniel J. Weber, Attorney-in-Fact	09/03/2026
	** 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.
* Form 4: SEC 1474 (03-26)