SMTC CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 30 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-12-08: Reporting owner SMITH EDWARD J; Form 4; Security Employee Stock Option (right to buy); Transaction Holding.
- 2017-11-08: Reporting owner SMITH EDWARD J; Form 4; Security Employee Stock Option (right to buy); Transaction Holding.
- 2017-09-27: Reporting owner Red Oak Partners, LLC | Sandberg David; Form 4; Security Stock Options; Transaction Holding.
- 2017-09-22: Reporting owner Red Oak Partners, LLC | Sandberg David; Form 4; Security Stock Options; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-12-08 holding as of filing | SMITH EDWARD J Director, Officer (President & CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | Holding | 731,858 owned after | $1.23 exercise price | 2017-12-08 | |
| 2017-11-08 holding as of filing | SMITH EDWARD J Director, Officer (President & CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | Holding | 731,858 owned after | $1.23 exercise price | 2017-11-08 | |
| 2017-09-27 holding as of filing | Red Oak Partners, LLC | Sandberg David Director, 10% Owner | 10% Owner | 4 | Stock Options Derivative · Direct | Holding | 20,230 owned after | $1.80 exercise price | 2017-09-27 | |
| 2017-09-22 holding as of filing | Red Oak Partners, LLC | Sandberg David Director, 10% Owner | 10% Owner | 4 | Stock Options Derivative · Direct | Holding | 20,230 owned after | $1.80 exercise price | 2017-09-22 | |
| 2017-09-18 holding as of filing | Sandberg David | Red Oak Partners, LLC 10% Owner | Director, 10% Owner | 4 | Restricted Stock Options Derivative · Direct | Holding | 35,268 owned after | $1.33 exercise price | 2017-09-18 | |
| 2017-09-18 holding as of filing | Sandberg David | Red Oak Partners, LLC 10% Owner | Director, 10% Owner | 4 | Stock Options Derivative · Direct | Holding | 20,230 owned after | $1.80 exercise price | 2017-09-18 | |
| 2017-08-28 holding as of filing | FITZGERALD RICHARD E Officer (COO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | Holding | 335,929 owned after | $1.26 exercise price | 2017-08-28 | |
| 2017-08-17 holding as of filing | FITZGERALD RICHARD E Officer (COO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | Holding | 335,929 owned after | $1.26 exercise price | 2017-08-17 | |
| 2017-08-15 holding as of filing | FITZGERALD RICHARD E Officer (COO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | Holding | 335,929 owned after | $1.26 exercise price | 2017-08-15 | |
| 2017-08-09 holding as of filing | SMITH EDWARD J Director, Officer (President & CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | Holding | 731,858 owned after | $1.23 exercise price | 2017-08-09 | |
| 2017-08-09 holding as of filing | FITZGERALD RICHARD E Officer (COO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | Holding | 335,929 owned after | $1.26 exercise price | 2017-08-09 | |
| 2017-07-05 holding as of filing | Red Oak Partners, LLC | Sandberg David Director, 10% Owner | 10% Owner | 4 | Stock Options Derivative · Direct | Holding | 20,230 owned after | $1.80 exercise price | 2017-07-05 | |
| 2017-06-30 holding as of filing | Sandberg David | Red Oak Partners, LLC 10% Owner | Director, 10% Owner | 4 | Stock Options Derivative · Direct | Holding | 20,230 owned after | $1.80 exercise price | 2017-06-30 | |
| 2017-06-29 holding as of filing | Red Oak Partners, LLC 10% Owner | 4/A | Stock Options Derivative · Direct | Holding | 20,230 owned after | $1.80 exercise price | 2017-06-29 | |
| 2017-06-28 holding as of filing | Red Oak Partners, LLC | Sandberg David Director, 10% Owner | 10% Owner | 4 | Stock Options Derivative · Direct | Holding | 20,230 owned after | $1.80 exercise price | 2017-06-28 | |
| 2017-06-23 holding as of filing | BAILEY CLARKE H Director | 4 | Stock Options Derivative · Direct | Holding | 50,000 owned after | $2.19 exercise price | 2017-06-23 | |
| 2017-06-23 holding as of filing | BAILEY CLARKE H Director | 4 | Stock Options Derivative · Direct | Holding | 100,576 owned after | $1.80 exercise price | 2017-06-23 | |
| 2017-06-21 holding as of filing | Sandberg David | Red Oak Partners, LLC 10% Owner | Director, 10% Owner | 4 | Stock Options Derivative · Direct | Holding | 20,230 owned after | $1.80 exercise price | 2017-06-21 | |
| 2017-06-15 holding as of filing | Sandberg David | Red Oak Partners, LLC 10% Owner | Director, 10% Owner | 4 | Stock Options Derivative · Direct | Holding | 20,230 owned after | $1.80 exercise price | 2017-06-15 | |
| 2017-06-15 holding as of filing | SMITH EDWARD J Director, Officer (President & CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | Holding | 731,858 owned after | $1.23 exercise price | 2017-06-15 | |
| 2017-06-13 holding as of filing | Red Oak Partners, LLC | Sandberg David Director, 10% Owner | 10% Owner | 4 | Stock Options Derivative · Direct | Holding | 20,230 owned after | $1.80 exercise price | 2017-06-13 | |
| 2017-06-09 holding as of filing | Red Oak Partners, LLC | Sandberg David Director, 10% Owner | 10% Owner | 4 | Stock Options Derivative · Direct | Holding | 20,230 owned after | $1.80 exercise price | 2017-06-09 | |
| 2017-06-08 holding as of filing | SMITH EDWARD J Director, Officer (President & CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | Holding | 731,858 owned after | $1.23 exercise price | 2017-06-08 | |
| 2017-06-07 holding as of filing | Red Oak Partners, LLC 10% Owner | 4 | Stock Options Derivative · Direct | Holding | 20,230 owned after | $1.80 exercise price | 2017-06-07 | |
| 2017-06-05 holding as of filing | FITZGERALD RICHARD E Officer (Chief Operating Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.26 exercise price | 2017-06-05 | ||
| 2017-06-05 holding as of filing | Sandberg David | Red Oak Partners, LLC 10% Owner | Director, 10% Owner | 4 | Stock Options Derivative · Direct | Holding | 20,230 owned after | $1.80 exercise price | 2017-06-05 | |
| 2017-06-02 holding as of filing | SMITH EDWARD J Director, Officer (President & CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | Holding | 731,858 owned after | $1.23 exercise price | 2017-06-02 | |
| 2017-05-15 | Dunfield Roger Officer (Chief Financial Officer) | 4 | Employee Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +335,929 464,207 owned after | $1.23 exercise price | 2018-02-14 | |
| 2017-05-15 | Dunfield Roger Officer (Chief Financial Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +335,929 335,929 owned after | $1.23 exercise price | 2017-05-17 | |
| 2017-05-15 | SMITH EDWARD J Director, Officer (President & CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +671,858 671,858 owned after | $1.23 exercise price | 2017-05-17 |