Home > Insider Trading > Filing (0001437749-16-023087)

Filing Details

Accession Number:: 0001437749-16-023087
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-01-05 14:49:54
Reporting Period:: 2015-12-31

Filing Date:: 2016-01-05
Accepted Time:: 2016-01-05 14:49:54
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	1969 Sw 17Th St. Boca Raton FL 33486		No	No	Yes	No
1423093	David Sandberg	1969 Sw 17Th St. Boca Raton FL 33486		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	2015-12-31	4,646	$1.54	45,635	No	4	P	Indirect	By The Red Oak Institutional Founders Long Fund LP directly
Common Stock	Acquisiton	2015-12-31	1,021	$1.54	9,040	No	4	P	Indirect	By the Wolverine Trading LLC directly

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	By The Red Oak Institutional Founders Long Fund LP directly
No	4	P	Indirect	By the Wolverine Trading LLC directly

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	648,956	Indirect	By David Sandberg Directly
Common Stock	501,308	Indirect	By Pinnacle Opportunities Fund, LP directly
Common Stock	1,088,470	Indirect	By the Red Oak Fund LP directly
Common Stock	523,679	Indirect	By the Red Oak Long Fund LP 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 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.
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.
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.
ROP serves as the investment manager and has trading and voting authority over shares held in a separate managed account held by Wolverine Trading LLC ("Wolverine"). David Sandberg is the managing member of ROP.
The transactions were executed in multiple trades at prices ranging from $1.50 to $1.55. The prices 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.