SMTC CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 9 rows in 2018. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-12-31: Reporting owner WASZAK STEVEN M; Form 4; Security Employee Stock Option (right to buy); Transaction Holding.
- 2018-12-06: Reporting owner WASZAK STEVEN M; Form 4; Security Employee Stock Option (right to buy); Transaction Holding.
- 2018-11-16: Reporting owner FITZGERALD RICHARD E; Form 4; Security Employee Stock Option (right to buy); Transaction Holding.
- 2018-11-14: Reporting owner SMITH EDWARD J; Form 4; Security Employee Stock Option (right to buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-12-31 holding as of filing | WASZAK STEVEN M Officer (CFO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | Holding | 335,929 owned after | $2.07 exercise price | 2018-12-31 | |
| 2018-12-06 holding as of filing | WASZAK STEVEN M Officer (CFO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | Holding | 335,929 owned after | $2.07 exercise price | 2018-12-06 | |
| 2018-11-16 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 | 2018-11-16 | |
| 2018-11-14 holding as of filing | SMITH EDWARD J Director, Officer (President & CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | Holding | 671,858 owned after | $1.23 exercise price | 2018-11-14 | |
| 2018-08-31 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 | 2018-08-31 | |
| 2018-08-31 holding as of filing | SMITH EDWARD J Director, Officer (President & CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | Holding | 671,858 owned after | $1.23 exercise price | 2018-08-31 | |
| 2018-05-10 | BAILEY CLARKE H Director | 4 | Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 0 owned after | $2.19 exercise price | 2018-05-10 | |
| 2018-03-12 | WASZAK STEVEN M 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 | $2.07 exercise price | 2018-03-15 | |
| 2018-02-21 holding as of filing | SMITH EDWARD J Director, Officer (President & CEO) | 4 | Employee Stock Option (Right to buy) Derivative · Direct | Holding | 739,858 owned after | $1.23 exercise price | 2018-02-21 |