0001437749-17-020808.txt : 20171218 0001437749-17-020808.hdr.sgml : 20171218 20171218060258 ACCESSION NUMBER: 0001437749-17-020808 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171212 FILED AS OF DATE: 20171218 DATE AS OF CHANGE: 20171218 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: 171260251 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: 171260252 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 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 4 1 rdgdoc.xml FORM 4 X0306 4 2017-12-12 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 2017-12-12 4 M 0 15038 1.33 A 678919 I By David Sandberg Directly Common Stock 2017-12-13 4 P 0 12221 1.60 A 587626 I By the Red Oak Long Fund LP directly Common Stock 2017-12-13 4 P 0 23244 1.60 A 1165223 I By the Red Oak Fund LP directly Common Stock 766968 I By Pinnacle Opportunities Fund, LP directly Common Stock 66603 I By The Red Oak Institutional Founders Long Fund LP directly Restricted Stock Unit 1.60 2017-12-13 2017-12-13 4 A 0 12500 1.60 A 2018-12-13 2018-12-13 Common Stock 12500 32730 D Restricted Stock Unit 1.33 2017-12-12 2017-12-12 4 M 0 15038 1.33 D 2017-12-12 2017-12-12 Common Stock 15038 20230 D Stock Options 1.80 2014-12-11 2014-12-11 4 A 0 20230 1.80 A 2015-12-11 2024-12-11 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. 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. These transactions were executed in multiple trades at prices ranging from $1.59 to $1.60. 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 represents 15,038 of vested restricted stock units converted into common shares on December 12, 2017. /s/ David Sandberg 2017-12-15