SMTC CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 25 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-11-24: Reporting owner GERMAIN CLAUDE; Form 4; Security Employee Stock Option to purchase Common Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-11-24: Reporting owner Walker Alex Hugh; Form 4; Security Employee Stock Option to Purchase Common Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-11-24: Reporting owner Blom Paul M; Form 4; Security Employee Stock Option to Purchase Common Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-09-21: Reporting owner GERMAIN CLAUDE; 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 |
|---|---|---|---|---|---|---|---|---|
| 2011-11-24 | GERMAIN CLAUDE Officer (Co-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) | +87,500 87,500 owned after | $2.38 exercise price | 2011-11-28 | |
| 2011-11-24 | Walker Alex Hugh Director, Officer (Co-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) | +87,500 87,500 owned after | $2.38 exercise price | 2011-11-28 | |
| 2011-11-24 | Blom Paul M Officer (Executive VP, Operations) | 4 | Employee Stock Option to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $2.38 exercise price | 2011-11-28 | |
| 2011-09-21 | GERMAIN CLAUDE Officer (Co-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) | +262,500 262,500 owned after | $3.20 exercise price | 2011-09-27 | |
| 2011-09-21 | Walker Alex Hugh Director, Officer (Co-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) | +262,500 262,500 owned after | $3.20 exercise price | 2011-09-27 | |
| 2011-08-12 | Walker Alex Hugh Director, Officer (Co-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) | +11,000 11,000 owned after | $3.20 exercise price | 2011-08-16 | |
| 2011-08-12 | GERMAIN CLAUDE Officer (Co-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) | +11,000 11,000 owned after | $3.20 exercise price | 2011-08-16 | |
| 2011-03-31 | CALDWELL JOHN E Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,998 0 owned after | $1.64 exercise price | 2011-04-01 | |
| 2011-03-30 | CALDWELL JOHN E Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 2,998 owned after | $1.64 exercise price | 2011-04-01 | |
| 2011-03-22 | Hoffrogge Steven G Officer (Senior VP-Business Development) | 4 | Employee Stock Option to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,668 33,333 owned after | $1.00 exercise price | 2011-03-23 | |
| 2011-03-22 | Hoffrogge Steven G Officer (Senior VP-Business Development) | 4 | Employee Stock Option to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,666 0 owned after | $1.64 exercise price | 2011-03-23 | |
| 2011-03-21 | Hoffrogge Steven G Officer (Senior VP-Business Development) | 4 | Employee Stock Option to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −21,334 16,666 owned after | $0.70 exercise price | 2011-03-23 | |
| 2011-03-21 | Hoffrogge Steven G Officer (Senior VP-Business Development) | 4 | Employee Stock Option to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,999 38,001 owned after | $1.00 exercise price | 2011-03-23 | |
| 2011-03-03 | CALDWELL JOHN E Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,007 3,998 owned after | $1.64 exercise price | 2011-03-07 | |
| 2011-03-03 | Simpson Donald George Officer (Senior VP Manuf. & Engineering) | 4 | Employee Stock Option to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,685 16,666 owned after | $0.70 exercise price | 2011-03-07 | |
| 2011-03-03 | Simpson Donald George Officer (Senior VP Manuf. & Engineering) | 4 | Employee Stock Option to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,835 39,165 owned after | $1.00 exercise price | 2011-03-07 | |
| 2011-03-03 | Todd Jane M A Officer (Chief Financial Officer) | 4 | Employee Stock Option to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,156 33,333 owned after | $1.00 exercise price | 2011-03-07 | |
| 2011-03-03 | Todd Jane M A Officer (Chief Financial Officer) | 4 | Employee Stock Option to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,968 41,032 owned after | $1.64 exercise price | 2011-03-07 | |
| 2011-03-01 | Simpson Donald George Officer (Senior VP Manuf. & Engineering) | 4 | Employee Stock Option to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,060 23,351 owned after | $0.70 exercise price | 2011-03-03 | |
| 2011-03-01 | Todd Jane M A Officer (Chief Financial Officer) | 4 | Employee Stock Option to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,847 16,666 owned after | $0.70 exercise price | 2011-03-03 | |
| 2011-03-01 | Todd Jane M A Officer (Chief Financial Officer) | 4 | Employee Stock Option to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,511 47,489 owned after | $1.00 exercise price | 2011-03-03 | |
| 2011-03-01 | CALDWELL JOHN E Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,782 16,005 owned after | $1.64 exercise price | 2011-03-03 | |
| 2011-01-18 | Todd Jane M A Officer (Chief Financial Officer) | 4 | Employee Stock Option to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,626 19,513 owned after | $0.70 exercise price | 2011-01-20 | |
| 2011-01-18 | CALDWELL JOHN E Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,364 18,787 owned after | $1.64 exercise price | 2011-01-20 | |
| 2011-01-18 | Simpson Donald George Officer (Senior VP Manuf. & Engineering) | 4 | Employee Stock Option to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,190 27,411 owned after | $0.70 exercise price | 2011-01-20 |