SMTC CORP Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 17 rows, 17 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-06-25: Reporting owner WASZAK STEVEN M; Form 4; Security Subscription Rights (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2019-06-25: Reporting owner Sandberg David | Red Oak Partners, LLC; Form 4; Security Subscription Rights (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2019-06-25: Reporting owner Sandberg David | Red Oak Partners, LLC; Form 4; Security Subscription Rights (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2019-06-20: Reporting owner Sandberg David | Red Oak Partners, LLC; Form 4; Security Subscription Rights (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-06-25 | WASZAK STEVEN M Officer (CFO) | 4 | Subscription Rights (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −6,404 0 owned after | $3.14 exercise price | 2019-06-27 | |
| 2019-06-25 | Sandberg David | Red Oak Partners, LLC Director, 10% Owner | 10% Owner | 4 | Subscription Rights (right to buy) Derivative · Indirect · By The Red Oak Long Fund, LP directly | X Exercise of in-the-money or at-the-money derivative security | −27,879 0 owned after | $3.14 exercise price | 2019-06-27 | |
| 2019-06-25 | Sandberg David | Red Oak Partners, LLC Director, 10% Owner | 10% Owner | 4 | Subscription Rights (right to buy) Derivative · Indirect · By The Red Oak Fund, LP directly | X Exercise of in-the-money or at-the-money derivative security | −52,282 0 owned after | $3.14 exercise price | 2019-06-27 | |
| 2019-06-20 | Sandberg David | Red Oak Partners, LLC Director, 10% Owner | 10% Owner | 4 | Subscription Rights (right to buy) Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −134,627 0 owned after | $3.14 exercise price | 2019-06-24 | |
| 2019-06-20 | Sandberg David | Red Oak Partners, LLC Director, 10% Owner | 10% Owner | 4 | Subscription Rights (right to buy) Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −248,620 0 owned after | $3.14 exercise price | 2019-06-24 | |
| 2019-06-20 | Sandberg David | Red Oak Partners, LLC Director, 10% Owner | 10% Owner | 4 | Subscription Rights (right to buy) Derivative · Direct · (m) | X Exercise of in-the-money or at-the-money derivative security | −114,547 0 owned after | $3.14 exercise price | 2019-06-24 | |
| 2019-06-20 | BAILEY CLARKE H Director | 4 | Subscription Rights (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −50,216 0 owned after | $3.14 exercise price | 2019-06-24 | |
| 2019-06-20 | SMITH EDWARD J Director, Officer (President & CEO) | 4 | Subscription Rights (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −34,477 0 owned after | $3.14 exercise price | 2019-06-24 | |
| 2019-06-20 | Wasserman Frederick Gerald Director | 4 | Subscription Rights (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −7,960 0 owned after | $3.14 exercise price | 2019-06-24 | |
| 2019-06-20 | Waterfield John Randall Director | 4 | Subscription Rights (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −112,429 0 owned after | $3.14 exercise price | 2019-06-24 | |
| 2019-06-20 | WASZAK STEVEN M Officer (CFO) | 4 | Subscription Rights (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −548 0 owned after | $3.14 exercise price | 2019-06-24 | |
| 2018-08-28 | Red Oak Partners, LLC | Sandberg David Director, 10% Owner | 10% Owner | 4 | Subscription Rights (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +2,313,097 0 owned after | $2.25 exercise price | 2018-08-31 | |
| 2018-08-28 | Waterfield John Randall Director | 4 | Subscription Rights (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +287,118 0 owned after | $2.25 exercise price | 2018-08-31 | |
| 2018-08-28 | FITZGERALD RICHARD E Officer (COO) | 4 | Subscription Rights (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +4,361 0 owned after | $2.25 exercise price | 2018-08-31 | |
| 2018-08-28 | Wasserman Frederick Gerald Director | 4 | Subscription Rights (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +11,839 0 owned after | $2.25 exercise price | 2018-08-31 | |
| 2018-08-28 | SMITH EDWARD J Director, Officer (President & CEO) | 4 | Subscription Rights (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +95,728 0 owned after | $2.25 exercise price | 2018-08-31 | |
| 2018-08-28 | BAILEY CLARKE H Director | 4 | Subscription Rights (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +104,181 0 owned after | $2.25 exercise price | 2018-08-31 |