SMTC CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 8 rows in 2007. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2007-11-15: Reporting owner CALDWELL JOHN E; Form 4; Security Employee Stock Option to Purchase Common Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2007-11-15: Reporting owner Todd Jane M A; Form 4; Security Employee Stock Option to Purchase Common Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2007-11-15: Reporting owner Hoffrogge Steven G; Form 4; Security Employee Stock Option to Purchase Common Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2007-11-15: Reporting owner Simpson Donald George; Form 4; Security Employee Stock Option to Purchase Common Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2007-11-15 | CALDWELL JOHN E Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +115,000 850,000 owned after | $1.64 exercise price | 2007-11-19 | |
| 2007-11-15 | Todd Jane M A Officer (Chief Financial Officer) | 4 | Employee Stock Option to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 170,000 owned after | $1.64 exercise price | 2007-11-19 | |
| 2007-11-15 | Hoffrogge Steven G Officer (Senior VP Bus. Devel.) | 4 | Employee Stock Option to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 172,000 owned after | $1.64 exercise price | 2007-11-19 | |
| 2007-11-15 | Simpson Donald George Officer (Senior VP Manuf. and Engineeri) | 4 | Employee Stock Option to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 113,000 owned after | $1.64 exercise price | 2007-11-19 | |
| 2007-11-14 | Blom Paul M Officer (Senior V.P., Supply Chain) | 4 | Employee Stock Option to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 90,000 owned after | $1.64 exercise price | 2008-10-02 | |
| 2007-03-16 | Blom Paul M Officer (Senior V.P., Supply Chain) | 4 | Employee Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $3.11 exercise price | 2008-10-02 | |
| 2007-02-28 holding as of filing | Simpson Donald George Officer (Senior VP Manuf. and Engineeri) | 3 | Employee Stock Option to Purchase Common Stock Derivative · Direct | Holding | no price filed | 2007-02-28 | ||
| 2007-02-28 holding as of filing | Simpson Donald George Officer (Senior VP Manuf. and Engineeri) | 3 | Employee Stock Option to Purchase Common Stock Derivative · Direct | Holding | no price filed | 2007-02-28 |