0001437749-17-012090.txt : 20170630
0001437749-17-012090.hdr.sgml : 20170630
20170630163037
ACCESSION NUMBER: 0001437749-17-012090
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170628
FILED AS OF DATE: 20170630
DATE AS OF CHANGE: 20170630
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SMTC CORP
CENTRAL INDEX KEY: 0001108320
STANDARD INDUSTRIAL CLASSIFICATION: PRINTED CIRCUIT BOARDS [3672]
IRS NUMBER: 980197680
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 7050 WOODBINE AVENUE
STREET 2: SUITE 300
CITY: MARKHAM
STATE: A6
ZIP: L3R4G8
BUSINESS PHONE: 9054791810
MAIL ADDRESS:
STREET 1: 7050 WOODBINE AVENUE
STREET 2: SUITE 300
CITY: MARKHAM
STATE: A6
ZIP: L3R4G8
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Sandberg David
CENTRAL INDEX KEY: 0001423093
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-31051
FILM NUMBER: 17942606
MAIL ADDRESS:
STREET 1: 150 E PALMETTO PARK ROAD
STREET 2: SUITE 800
CITY: BOCA RATON
STATE: FL
ZIP: 33432
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Red Oak Partners, LLC
CENTRAL INDEX KEY: 0001325533
STATE OF INCORPORATION: FL
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-31051
FILM NUMBER: 17942607
BUSINESS ADDRESS:
STREET 1: 150 E PALMETTO PARK ROAD
STREET 2: SUITE 800
CITY: BOCA RATON
STATE: FL
ZIP: 33432
BUSINESS PHONE: 6466883436
MAIL ADDRESS:
STREET 1: 1441 BROADWAY
STREET 2: SUITE 5022
CITY: NEW YORK
STATE: NY
ZIP: 10018
4
1
rdgdoc.xml
FORM 4
X0306
4
2017-06-28
0001108320
SMTC CORP
SMTX
0001325533
Red Oak Partners, LLC
1441 BROADWAY
SUITE 5022
NEW YORK
NY
10018
1
0001423093
Sandberg David
1969 SW 17TH ST.
BOCA RATON
FL
33486
1
1
Common Stock
2017-06-28
4
P
0
30200
1.294
A
624394
I
By Pinnacle Opportunities Fund, LP directly
Common Stock
2017-06-29
4
P
0
1250
1.2980
A
625644
I
By Pinnacle Opportunities Fund, LP directly
Common Stock
66603
I
By The Red Oak Institutional Founders Long Fund LP directly
Common Stock
663881
I
By David Sandberg Directly
Common Stock
1088470
I
By the Red Oak Fund LP directly
Common Stock
523679
I
By the Red Oak Long Fund LP directly
Restricted Stock Unit
1.3300
2017-12-12
2017-12-12
Common Stock
15038
35268
D
Stock Options
1.8000
2015-12-11
2025-12-11
Common Stock
20230
20230
D
ROP serves as a managing member of Pinnacle Capital Partners, LLC, a Florida limited liability company ("Pinnacle Partners"). Pinnacle Partners is the general partner of Pinnacle
Opportunities Fund, LP, a Delaware limited partnership ("Pinnacle Fund"), the direct owner of the subject securities.
Each Reporting Person disclaims beneficial ownership of all securities reported herein, except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities and Exchange Act of 1934 or for any other purpose.
This transaction was executed in multiple trades at prices ranging from $1.28 to $1.30. The price reported in Column 4 of Table I reflects the weighted average purchase price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected.
This transaction was executed in multiple trades at prices ranging from $1.29 to $1.30. The price reported in Column 4 of Table I reflects the weighted average purchase price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected.
ROP serves as the general partner of The Red Oak Institutional Founders Long Fund, LP, a Delaware limited partnership (the "Founders Fund"), the direct owner of the subject securities. David Sandberg is the managing member of ROP and the Founders Fund's portfolio manager.
Red Oak Partners, LLC ("ROP") serves as the general partner of The Red Oak Fund, LP, a Delaware limited partnership (the "Fund"), the direct owner of the subject securities. David
Sandberg is the managing member of ROP and the Fund's portfolio manager.
ROP serves as the general partner of The Red Oak Long Fund, LP, a Delaware limited partnership (the "Long Fund"), the direct owner of the subject securities. David Sandberg is the managing member of ROP and the Long Fund's portfolio manager.
/s/ David Sandberg
2017-06-29