Home > Insider Trading > Filing (0001325533-13-000047)

Filing Details

Accession Number:: 0001325533-13-000047
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-09-16 17:52:24
Reporting Period:: 2013-09-12

Filing Date:: 2013-09-16
Accepted Time:: 2013-09-16 17:52:24
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1108320	Smtc Corp	SMTX	Printed Circuit Boards (3672)	980197680

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1325533	Red Oak Partners, Llc	304 Park Ave South 11Th Fl New York NY 10010		No	No	Yes	No
1423093	David Sandberg	304 Park Ave South 11Th Floor New York NY 10010		Yes	No	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2013-09-12	6,400	$1.89	1,953,182	No	4	P	Indirect	By Pinnacle Opportunities Fund, LP
Common Stock	Acquisiton	2013-09-13	2,600	$1.90	1,955,782	No	4	P	Indirect	By Pinnacle Opportunities Fund, LP

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	By Pinnacle Opportunities Fund, LP
No	4	P	Indirect	By Pinnacle Opportunities Fund, LP

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	625,000	Indirect	By David Sandberg directly

Footnotes

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 a managing member of Pinnacle Partners, LLC, a Colorado limited liability limited company ("Pinnacle Partners"). Pinnacle Partners is the general partner of Pinnacle Opportunities Fund, LP (formerly Pinnacle Fund, LLLP), 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.
These shares were purchased subsequent to an exemption granted to Pinnacle Fund on June 12, 2013 and based on when Pinnacle Fund was eligible to purchase shares with respect to dates when insiders of SMTC are eligible to trade. David Sandberg is a Director of SMTC's Board of Directors.
This transaction was executed in multiple trades at prices ranging from $1.89 to $1.90. 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.