Filing Details

Accession Number:
0001325533-13-000049
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-10-01 17:57:59
Reporting Period:
2013-09-27
Filing Date:
2013-10-01
Accepted Time:
2013-10-01 17:57:59
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
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-09-27 400 $1.95 1,957,182 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
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 625,000 Indirect By David Sandberg directly
Footnotes
  1. 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.
  2. 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.
  3. 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.