SMTC CORP Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 70 rows, 70 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-02-21: Reporting owner SMITH EDWARD J; Form 4; Security Restricted Stock Units; Transaction Holding.
- 2018-02-20: Reporting owner SMITH EDWARD J; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2018-02-12: Reporting owner Dunfield Roger; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-12-13: Reporting owner Red Oak Partners, LLC | Sandberg David; Form 4; Security Restricted Stock Unit; 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 |
|---|---|---|---|---|---|---|---|---|
| 2018-02-21 holding as of filing | SMITH EDWARD J Director, Officer (President & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 68,000 owned after | no price filed | 2018-02-21 | |
| 2018-02-20 | SMITH EDWARD J Director, Officer (President & CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −68,000 671,858 owned after | $0.00 | 2018-02-21 | |
| 2018-02-12 | Dunfield Roger Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −31,746 432,461 owned after | $0.00 | 2018-02-14 | |
| 2017-12-13 | Red Oak Partners, LLC | Sandberg David Director, 10% Owner | 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $1.60 | 2018-08-31 | |
| 2017-12-13 | Waterfield John Randall Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $1.33 | 2018-08-31 | |
| 2017-12-13 | Wasserman Frederick Gerald Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $1.33 | 2018-08-31 | |
| 2017-12-13 | BAILEY CLARKE H Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31,250 31,250 owned after | $1.60 exercise price | 2018-08-31 | |
| 2017-12-13 | Red Oak Partners, LLC | Sandberg David Director, 10% Owner | 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $1.60 | 2018-05-16 | |
| 2017-12-13 | BAILEY CLARKE H Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31,250 31,250 owned after | $1.60 | 2018-05-10 | |
| 2017-12-13 | BAILEY CLARKE H Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31,250 131,826 owned after | $1.60 | 2017-12-18 | |
| 2017-12-13 | Wasserman Frederick Gerald Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 32,730 owned after | $1.33 | 2017-12-18 | |
| 2017-12-13 | Waterfield John Randall Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 32,730 owned after | $1.33 | 2017-12-18 | |
| 2017-12-13 | Red Oak Partners, LLC | Sandberg David Director, 10% Owner | 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 32,730 owned after | $1.60 | 2017-12-18 | |
| 2017-12-13 holding as of filing | Sandberg David | Red Oak Partners, LLC Director | 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | Holding | 35,268 owned after | $1.33 exercise price | 2017-12-13 | |
| 2017-12-13 holding as of filing | Sandberg David | Red Oak Partners, LLC Director | 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | Holding | 20,230 owned after | $1.80 exercise price | 2017-12-13 | |
| 2017-12-12 | BAILEY CLARKE H Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −37,594 0 owned after | $1.33 exercise price | 2017-12-18 | |
| 2017-12-12 | Wasserman Frederick Gerald Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,038 0 owned after | $1.33 exercise price | 2017-12-18 | |
| 2017-12-12 | Waterfield John Randall Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,038 0 owned after | $1.33 exercise price | 2017-12-18 | |
| 2017-12-12 | Red Oak Partners, LLC | Sandberg David Director, 10% Owner | 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,038 20,230 owned after | $1.33 | 2017-12-18 | |
| 2017-12-08 holding as of filing | SMITH EDWARD J Director, Officer (President & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 60,000 owned after | no price filed | 2017-12-08 | |
| 2017-11-08 holding as of filing | SMITH EDWARD J Director, Officer (President & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 60,000 owned after | no price filed | 2017-11-08 | |
| 2017-10-02 holding as of filing | Red Oak Partners, LLC | Sandberg David Director, 10% Owner | 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | Holding | 35,268 owned after | $1.33 exercise price | 2017-10-02 | |
| 2017-10-02 holding as of filing | Red Oak Partners, LLC | Sandberg David Director, 10% Owner | 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | Holding | 20,230 owned after | $1.80 exercise price | 2017-10-02 | |
| 2017-09-27 holding as of filing | Red Oak Partners, LLC | Sandberg David Director, 10% Owner | 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | Holding | 35,268 owned after | $1.33 exercise price | 2017-09-27 | |
| 2017-09-22 holding as of filing | Red Oak Partners, LLC | Sandberg David Director, 10% Owner | 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | Holding | 35,268 owned after | $1.33 exercise price | 2017-09-22 | |
| 2017-08-09 holding as of filing | SMITH EDWARD J Director, Officer (President & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 60,000 owned after | no price filed | 2017-08-09 | |
| 2017-07-05 holding as of filing | Red Oak Partners, LLC | Sandberg David Director, 10% Owner | 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | Holding | 35,268 owned after | $1.33 exercise price | 2017-07-05 | |
| 2017-06-30 holding as of filing | Sandberg David | Red Oak Partners, LLC 10% Owner | Director, 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | Holding | 35,268 owned after | $1.33 exercise price | 2017-06-30 | |
| 2017-06-29 holding as of filing | Red Oak Partners, LLC 10% Owner | 4/A | Restricted Stock Unit Derivative · Direct | Holding | 35,268 owned after | $1.33 exercise price | 2017-06-29 | |
| 2017-06-28 holding as of filing | Red Oak Partners, LLC | Sandberg David Director, 10% Owner | 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | Holding | 35,268 owned after | $1.33 exercise price | 2017-06-28 | |
| 2017-06-23 holding as of filing | BAILEY CLARKE H Director | 4 | Restricted Stock Unit Derivative · Direct | Holding | 138,170 owned after | $1.33 exercise price | 2017-06-23 | |
| 2017-06-21 holding as of filing | Sandberg David | Red Oak Partners, LLC 10% Owner | Director, 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | Holding | 35,268 owned after | $1.33 exercise price | 2017-06-21 | |
| 2017-06-15 holding as of filing | Sandberg David | Red Oak Partners, LLC 10% Owner | Director, 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | Holding | 35,268 owned after | $1.33 exercise price | 2017-06-15 | |
| 2017-06-15 holding as of filing | SMITH EDWARD J Director, Officer (President & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 60,000 owned after | no price filed | 2017-06-15 | |
| 2017-06-13 holding as of filing | Red Oak Partners, LLC | Sandberg David Director, 10% Owner | 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | Holding | 35,268 owned after | $1.33 exercise price | 2017-06-13 | |
| 2017-06-09 holding as of filing | Red Oak Partners, LLC | Sandberg David Director, 10% Owner | 10% Owner | 4 | Restricted Sock Unit Derivative · Direct | Holding | 35,268 owned after | $1.33 exercise price | 2017-06-09 | |
| 2017-06-08 holding as of filing | SMITH EDWARD J Director, Officer (President & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 60,000 owned after | no price filed | 2017-06-08 | |
| 2017-06-07 holding as of filing | Red Oak Partners, LLC 10% Owner | 4 | Restricted Stock Units Derivative · Direct | Holding | 35,268 owned after | $1.33 exercise price | 2017-06-07 | |
| 2017-06-05 holding as of filing | Sandberg David | Red Oak Partners, LLC 10% Owner | Director, 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | Holding | 35,268 owned after | $1.33 exercise price | 2017-06-05 | |
| 2017-06-02 holding as of filing | SMITH EDWARD J Director, Officer (President & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 60,000 owned after | no price filed | 2017-06-02 | |
| 2017-02-27 | Sandberg David | Red Oak Partners, LLC 10% Owner | Director, 10% Owner | 4 | Restricted Stock Unit Derivative · Indirect · By David Sandberg directly | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,925 15,038 owned after | $1.34 | 2017-03-01 | |
| 2017-02-27 | BAILEY CLARKE H Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −37,313 0 owned after | $1.34 exercise price | 2017-02-28 | |
| 2017-02-27 | Wasserman Frederick Gerald Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,925 0 owned after | $1.34 exercise price | 2017-02-28 | |
| 2017-02-27 | Waterfield John Randall Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,925 0 owned after | $1.34 exercise price | 2017-02-28 | |
| 2017-02-17 | SMITH EDWARD J Director, Officer (Interim President & CEO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,000 60,000 owned after | $0.00 | 2017-02-22 | |
| 2017-02-12 | Dunfield Roger Officer (CFO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −27,778 0 owned after | $0.00 | 2017-02-14 | |
| 2017-01-06 | Dhiman Sushil Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −109,170 0 owned after | $0.00 | 2017-01-06 | |
| 2016-12-12 | Dunfield Roger Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,376 128,278 owned after | $0.00 | 2018-02-14 | |
| 2016-12-12 | Sandberg David | Red Oak Partners, LLC 10% Owner | Director, 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,038 35,268 owned after | $1.33 | 2017-06-01 | |
| 2016-12-12 | Sandberg David | Red Oak Partners, LLC 10% Owner | Director, 10% Owner | 4 | Restricted Stock Unit Derivative · Indirect · By David Sandberg directly | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,038 29,963 owned after | $1.33 | 2017-03-01 | |
| 2016-12-12 | BAILEY CLARKE H Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +37,594 0 owned after | $1.33 | 2017-02-28 | |
| 2016-12-12 | Wasserman Frederick Gerald Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,038 0 owned after | $1.33 | 2017-02-28 | |
| 2016-12-12 | Waterfield John Randall Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,038 0 owned after | $1.33 | 2017-02-28 | |
| 2016-03-07 holding as of filing | Dunfield Roger Officer (CFO) | 3/A | Restricted Stock Units Derivative · Direct | Holding | $1.26 exercise price | 2016-03-07 | ||
| 2016-03-07 holding as of filing | Dunfield Roger Officer (CFO) | 3/A | Restricted Stock Units Derivative · Direct | Holding | $1.26 exercise price | 2016-03-07 | ||
| 2016-03-04 holding as of filing | Dunfield Roger Officer (CFO) | 3 | Restricted Stock Units Derivative · Direct | Holding | $1.34 exercise price | 2016-03-04 | ||
| 2016-03-04 holding as of filing | Dunfield Roger Officer (CFO) | 3 | Restricted Stock Units Derivative · Direct | Holding | $1.34 exercise price | 2016-03-04 | ||
| 2016-02-26 | Wasserman Frederick Gerald Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,925 35,155 owned after | $1.34 | 2016-03-04 | |
| 2016-02-26 | Waterfield John Randall Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,925 35,155 owned after | $1.34 | 2016-03-04 | |
| 2016-02-26 | BAILEY CLARKE H Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +37,313 137,889 owned after | $1.34 | 2016-03-04 | |
| 2016-02-26 | Dhiman Sushil Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +55,224 289,049 owned after | $1.34 | 2016-03-04 | |
| 2016-02-26 | Dhiman Sushil Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +55,224 344,273 owned after | $1.34 | 2016-03-04 | |
| 2016-02-26 | Sandberg David | Red Oak Partners, LLC Director, 10% Owner | 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,925 35,155 owned after | $1.34 | 2016-03-04 | |
| 2015-02-04 holding as of filing | BAILEY CLARKE H Director | 3 | Restricted Stock Units Derivative · Direct | Holding | $1.80 exercise price | 2015-02-04 | ||
| 2015-02-04 holding as of filing | Sandberg David Director | 3 | Restricted Stock Units Derivative · Direct | Holding | $1.80 exercise price | 2015-02-04 | ||
| 2015-02-04 holding as of filing | Silber Lawrence Harris Director | 3 | Restricted Stock Units Derivative · Direct | Holding | $1.80 exercise price | 2015-02-04 | ||
| 2015-02-04 holding as of filing | Wasserman Frederick Gerald Director | 3 | Restricted Stock Units Derivative · Direct | Holding | $1.80 exercise price | 2015-02-04 | ||
| 2015-02-04 holding as of filing | Dhiman Sushil Director, Officer (President and CEO) | 3 | Restricted Stock Units Derivative · Direct | Holding | $1.80 exercise price | 2015-02-04 | ||
| 2015-02-04 holding as of filing | Dhiman Sushil Director, Officer (President and CEO) | 3 | Restricted Stock Units Derivative · Direct | Holding | $1.80 exercise price | 2015-02-04 | ||
| 2014-01-10 holding as of filing | Dhiman Sushil Officer (Chief Executive Officer) | 4 | Restricted Stock Units Derivative · Direct | Holding | $250,000.00 exercise price | 2014-01-10 |