UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
Information Statement Pursuant to Rules 13d-1 and 13d-2
Under the Securities Exchange Act of 1934
(Amendment No. 1*)
SMTC Corporation |
(Name of Issuer)
Common Stock, $0.01 par value |
(Title of Class of Securities)
832682207 |
(CUSIP Number)
December 31, 2010 |
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this schedule is filed:
¨ Rule 13d-1(b)
¨ Rule 13d-1(c)
x Rule 13d-1(d)
* | The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. |
The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP No. 832682207 | 13G/A | Page 2 of 9 Pages |
1. |
NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Bain Capital Fund VI, L.P. EIN No.: 04-3405560 | |||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x
| |||||
3. | SEC USE ONLY
| |||||
4. | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5. | SOLE VOTING POWER
0 Shares | ||||
6. | SHARED VOTING POWER
0 | |||||
7. | SOLE DISPOSITIVE POWER
0 Shares | |||||
8. | SHARED DISPOSITIVE POWER
0 | |||||
9. |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 Shares | |||||
10. |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
| |||||
11. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.00% | |||||
12. |
TYPE OF REPORTING PERSON*
PN |
2
CUSIP No. 832682207 | 13G/A | Page 3 of 9 Pages |
1. |
NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
BCIP Associates II EIN No.: 04-3404818 | |||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x
| |||||
3. | SEC USE ONLY
| |||||
4. | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5. | SOLE VOTING POWER
0 Shares | ||||
6. | SHARED VOTING POWER
0 | |||||
7. | SOLE DISPOSITIVE POWER
0 Shares | |||||
8. | SHARED DISPOSITIVE POWER
0 | |||||
9. |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 Shares | |||||
10. |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
| |||||
11. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.00% | |||||
12. |
TYPE OF REPORTING PERSON*
PN |
3
CUSIP No. 832682207 | 13G/A | Page 4 of 9 Pages |
1. |
NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
BCIP Associates II-B EIN No.: 04-3404819 | |||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x
| |||||
3. | SEC USE ONLY
| |||||
4. | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5. | SOLE VOTING POWER
0 Shares | ||||
6. | SHARED VOTING POWER
0 | |||||
7. | SOLE DISPOSITIVE POWER
0 Shares | |||||
8. | SHARED DISPOSITIVE POWER
0 | |||||
9. |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 Shares | |||||
10. |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
| |||||
11. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.00% | |||||
12. |
TYPE OF REPORTING PERSON*
PN |
4
CUSIP No. 832682207 | 13G/A | Page 5 of 9 Pages |
1. |
NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
BCIP Associates II-C EIN No.: 04-3424217 | |||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x
| |||||
3. | SEC USE ONLY
| |||||
4. | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5. | SOLE VOTING POWER
0 Shares | ||||
6. | SHARED VOTING POWER
0 | |||||
7. | SOLE DISPOSITIVE POWER
0 Shares | |||||
8. | SHARED DISPOSITIVE POWER
0 | |||||
9. |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 Shares | |||||
10. |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
| |||||
11. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.00% | |||||
12. |
TYPE OF REPORTING PERSON*
PN |
5
Item 1 | (a). |
Name of Issuer | ||||||||||
The name of the issuer to which this filing on Schedule 13G/A relates is SMTC Corporation (the Company). | ||||||||||||
Item 1 | (b). |
Address of Issuers Principal Executive Offices | ||||||||||
The principal executive offices of the Company are located at 635 Hood Road, Markham, Ontario, Canada, L3R 4N6. | ||||||||||||
Item 2 | (a). |
Name of Person Filing | ||||||||||
This statement is being filed on behalf of Bain Capital Fund VI, L.P., a Delaware limited partnership (BCF VI), BCIP Associates II, a Delaware general partnership (BCIP II), BCIP Associates II-B, a Delaware general partnership (BCIP II-B), and BCIP Associates II-C, a Delaware general partnership (BCIP II-C). | ||||||||||||
BCF VI, BCIP II, BCIP II-B, and BCIP II-C have agreed to file this statement jointly in accordance with the provisions of Rule 13d-1(k)(1) under the Securities Exchange Act of 1934. | ||||||||||||
Item 2 | (b). |
Address of Principal Business Office or, if none, Residence | ||||||||||
The principal business address of each of BCF VI, BCIP II, BCIP II-B, and BCIP II-C is c/o Bain Capital Investors, LLC 111 Huntington Avenue, Boston, Massachusetts 02199. | ||||||||||||
Item 2 | (c). |
Citizenship | ||||||||||
Each of BCF VI, BCIP II, BCIP II-B, and BCIP II-C is organized under the laws of the State of Delaware. | ||||||||||||
Item 2 | (d). |
Title of Class of Securities | ||||||||||
The class of equity securities of the Company to which this filing on Schedule 13G/A relates is Common Stock, par value $0.01 per share (Common Stock). | ||||||||||||
Item 2 | (e). |
CUSIP Number | ||||||||||
The CUSIP number of the Companys Common Stock is 832682207. |
||||||||||||
Item 3. | If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: | |||||||||||
Not applicable. | ||||||||||||
(a) | ¨ | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). | ||||||||||
(b) | ¨ | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 73c). | ||||||||||
(c) | ¨ | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). | ||||||||||
(d) | ¨ | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). | ||||||||||
(e) | ¨ | An investment adviser in accordance with §13d-1(b)(1)(ii)(E). | ||||||||||
(f) | ¨ | An employee benefit plan or endowment fund in accordance with §240.13d 1(b)(1)(ii)(F). | ||||||||||
(g) | ¨ | A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G). | ||||||||||
(h) | ¨ | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813). | ||||||||||
(i) | ¨ | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3). | ||||||||||
(j) | ¨ | Group, in accordance with §240.13d-1(b)(1)(ii)(J). | ||||||||||
¨ | If this statement is filed pursuant to §240.13d-1(c), check this box. |
6
Item 4. | Ownership | |||||||||||
Item 4 |
(a). | Amount beneficially owned | ||||||||||
As of the close of business on December 31, 2010, BCF VI owned 0 shares of Common Stock of the Company. | ||||||||||||
As of the close of business on December 31, 2010, BCIP II owned 0 shares of Common Stock of the Company. | ||||||||||||
As of the close of business on December 31, 2010, BCIP II-B owned 0 shares of Common Stock of the Company. | ||||||||||||
As of the close of business on December 31, 2010, BCIP II-C owned 0 shares of Common Stock of the Company. | ||||||||||||
No person other than the respective owner referred to herein of the shares of Common Stock of the Company is known to have the right to receive or the power to direct the receipt of dividends from or the proceeds from the sale of such shares of Common Stock of the Company. | ||||||||||||
Item 4 |
(b). | Percent of Class | ||||||||||
As of the close of business on December 31, 2010, BCF VI owned 0% of the Common Stock outstanding of the Company, BCIP II-B owned 0.00% of the Common Stock outstanding of the Company, and BCIP II-C owned 0.00% of the Common Stock outstanding of the Company. | ||||||||||||
The aggregate percentage of Common Stock reported owned by BCF VI, BCIP II, BCIP II-B, and BCIP II-C is based upon 15,067,487 shares of Common Stock outstanding, which is the total number of shares of Common Stock outstanding as of October 31, 2010, based on representations made in the Companys quarterly report for the quarterly period ending October 3, 2010 on Form 10-Q filed with the Securities and Exchange Commission on November 12, 2010. | ||||||||||||
Item 4 |
(c). | Number of shares as to which such person has: | ||||||||||
(i) | sole power to vote or to direct the vote: | |||||||||||
BCF VI |
0 | |||||||||||
BCIP II |
0 | |||||||||||
BCIP II-B |
0 | |||||||||||
BCIP II-C |
0 | |||||||||||
(ii) | shared power to vote or to direct the vote: | |||||||||||
0 | ||||||||||||
(iii) | sole power to dispose or to direct the disposition of: | |||||||||||
BCF VI |
0 | |||||||||||
BCIP II |
0 | |||||||||||
BCIP II-B |
0 | |||||||||||
BCIP II-C |
0 | |||||||||||
(iv) | shared power to dispose or to direct the disposition of: | |||||||||||
0 | ||||||||||||
Item 5. | Ownership of Five Percent or Less of a Class | |||||||||||
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following x. | ||||||||||||
Item 6. | Ownership of More than Five Percent on Behalf of Another Person | |||||||||||
Not Applicable. | ||||||||||||
Item 7. | Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company: | |||||||||||
Not Applicable. | ||||||||||||
Item 8. | Identification and Classification of Members of the Group | |||||||||||
Not Applicable. | ||||||||||||
Item 9. | Notice of Dissolution of Group | |||||||||||
Not Applicable. | ||||||||||||
Item 10. | Certification | |||||||||||
Not Applicable |
7
SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this Statement is true, complete and correct.
Dated: February 17, 2011
BAIN CAPITAL FUND VI, L.P. | ||||
BAIN CAPITAL VI COINVESTMENT FUND, L.P. | ||||
BCIP ASSOCIATES II | ||||
BCIP ASSOCIATES II-B | ||||
BCIP ASSOCIATES II-C | ||||
By: | /s/ Michael F. Goss | |||
Name: | Michael Goss | |||
Title: | Authorized Signatory |
Exhibit A
Agreement Regarding the Joint Filing of Schedule 13G/A
The undersigned hereby agree as follows:
(i) Each of them is individually eligible to use the Schedule 13G/A to which this Exhibit is attached, and such Schedule 13G is filed on behalf of each of them; and
(ii) Each of them is responsible for the timely filing of such Schedule 13G/A and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the completeness or accuracy of the information concerning the other persons making the filing, unless such person knows or has reason to believe that such information is inaccurate.
Dated: February 17, 2011
BAIN CAPITAL FUND VI, L.P. | ||||
BAIN CAPITAL VI COINVESTMENT FUND, L.P. | ||||
BCIP ASSOCIATES II | ||||
BCIP ASSOCIATES II-B | ||||
BCIP ASSOCIATES II-C | ||||
By: | /s/ Michael F. Goss | |||
Name: | Michael Goss | |||
Title: | Managing Director |
9