SMTC CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 9 rows in 2021. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-04-05: Reporting owner Waterfield John Randall; Form 4; Security Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2021-04-05: Reporting owner WASZAK STEVEN M; Form 4; Security Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2021-04-05: Reporting owner WASZAK STEVEN M; Form 4; Security Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2021-04-05: Reporting owner SMITH EDWARD J; Form 4; Security Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-04-05 | Waterfield John Randall Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,230 0 owned after | $4.24 | 2021-04-07 | |
| 2021-04-05 | WASZAK STEVEN M Officer (CFO) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −335,929 0 owned after | $3.97 | 2021-04-06 | |
| 2021-04-05 | WASZAK STEVEN M Officer (CFO) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −200,000 0 owned after | $2.37 | 2021-04-06 | |
| 2021-04-05 | SMITH EDWARD J Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −490,358 0 owned after | $4.81 | 2021-04-06 | |
| 2021-04-05 | SMITH EDWARD J Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −250,000 0 owned after | $2.37 | 2021-04-06 | |
| 2021-04-05 | Wasserman Frederick Gerald Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,230 0 owned after | $4.24 | 2021-04-06 | |
| 2021-04-05 | BAILEY CLARKE H Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −50,576 0 owned after | $4.24 | 2021-04-06 | |
| 2021-04-05 | FITZGERALD RICHARD E Officer (COO) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −134,371 0 owned after | $4.78 | 2021-04-06 | |
| 2021-04-05 | FITZGERALD RICHARD E Officer (COO) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −200,000 0 owned after | $2.37 | 2021-04-06 |