SMTC CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 10 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-11: Reporting owner Waterfield John Randall; Form 4; Security Stock Options; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-12-11: Reporting owner Wasserman Frederick Gerald; Form 4; Security Stock Options; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-12-11: Reporting owner BAILEY CLARKE H; Form 4; Security Stock Options; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-12-11: Reporting owner Red Oak Partners, LLC | Sandberg David; Form 4; Security Stock Options; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-12-11 | Waterfield John Randall Director | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,230 20,230 owned after | $1.80 | 2018-08-31 | |
| 2014-12-11 | Wasserman Frederick Gerald Director | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,230 20,230 owned after | $1.80 | 2018-08-31 | |
| 2014-12-11 | BAILEY CLARKE H Director | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,576 50,576 owned after | $1.80 exercise price | 2018-08-31 | |
| 2014-12-11 | Red Oak Partners, LLC | Sandberg David Director, 10% Owner | 10% Owner | 4 | Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,230 0 owned after | $1.80 | 2018-05-16 | |
| 2014-12-11 | BAILEY CLARKE H Director | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,576 50,576 owned after | $1.80 | 2018-05-10 | |
| 2014-12-11 | BAILEY CLARKE H Director | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,576 100,576 owned after | $1.80 | 2017-12-18 | |
| 2014-12-11 | Wasserman Frederick Gerald Director | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,230 20,230 owned after | $1.80 | 2017-12-18 | |
| 2014-12-11 | Waterfield John Randall Director | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,230 20,230 owned after | $1.80 | 2017-12-18 | |
| 2014-12-11 | Red Oak Partners, LLC | Sandberg David Director, 10% Owner | 10% Owner | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,230 20,230 owned after | $1.80 | 2017-12-18 | |
| 2014-12-11 | Sandberg David | Red Oak Partners, LLC 10% Owner | Director, 10% Owner | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,230 20,230 owned after | $1.80 | 2017-06-01 |