0001437749-19-024358.txt : 20191212
0001437749-19-024358.hdr.sgml : 20191212
20191212212426
ACCESSION NUMBER: 0001437749-19-024358
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191210
FILED AS OF DATE: 20191212
DATE AS OF CHANGE: 20191212
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: 191283191
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: 191283192
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: 40 RICHARDS AVE.
STREET 2: SUITE 300
CITY: NORWALK
STATE: CT
ZIP: 06854
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: 1230
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
2019-12-10
0001108320
SMTC CORP
SMTX
0001423093
Sandberg David
1441 BROADWAY
SUITE 5022
NEW YORK
NY
10018
1
1
0001325533
Red Oak Partners, LLC
1441 BROADWAY
SUITE 5022
NEW YORK
NY
10018
1
Common Stock
2019-12-10
4
A
0
7082
0
A
1060920
D
Common Stock
980926
I
By The Red Oak Long Fund, LP directly
Common Stock
2339595
I
By The Red Oak Fund, LP directly
Common Stock
1820182
I
By The Red Oak Institutional Founders Long Fund, LP directly
Represents restricted stock granted pursuant to the issuer's 2019 Incentive Plan, which has a forfeiture schedule if certain time-based service conditions are not met over a 12-month period in 2020.
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.
Red Oak Partners, LLC ("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.
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 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.
/s/ David Sandberg
2019-12-12