SMTC CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 2 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-12-12: Reporting owner Dunfield Roger; Form 4; Security Employee Stock Options; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-02-26: Reporting owner Dhiman Sushil; Form 4; Security Stock Options; 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-12-12 | Dunfield Roger Officer (Chief Financial Officer) | 4 | Employee Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +71,156 102,902 owned after | $1.33 exercise price | 2018-02-14 | |
| 2016-02-26 | Dhiman Sushil Director, Officer (Chief Executive Officer) | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +155,403 499,676 owned after | $0.48 | 2016-03-04 |