Filing Details

Accession Number:
0001437749-17-012005
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2017-06-29 14:45:21
Reporting Period:
2017-06-26
Filing Date:
2017-06-29
Accepted Time:
2017-06-29 14:45:21
Original Submission Date:
2017-06-28
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 1441 Broadway
Suite 5022
New York NY 10018
No No Yes 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 2017-06-26 6,100 $1.29 588,694 No 4 P Indirect By Pinnacle Opportunities Fund, LP directly
Common Stock Acquisiton 2017-06-27 5,500 $1.30 594,194 No 4 P Indirect By Pinnacle Opportunities Fund, LP directly
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Pinnacle Opportunities Fund, LP directly
No 4 P Indirect By Pinnacle Opportunities Fund, LP directly
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 66,603 Indirect By The Red Oak Institutional Founders Long Fund LP directly
Common Stock 663,881 Indirect By David Sandberg 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
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Restricted Stock Unit $1.33 2017-12-12 2017-12-12 15,038 35,268 Direct
Common Stock Stock Options $1.80 2015-12-11 2025-12-11 20,230 20,230 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2017-12-12 15,038 35,268 Direct
2025-12-11 20,230 20,230 Direct
Footnotes
  1. 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 PinnacleOpportunities Fund, LP, a Delaware limited partnership ("Pinnacle Fund"), the direct owner of the subject securities.
  2. 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.
  3. This transaction was executed in multiple trades at prices ranging from $1.285 to $1.30. 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.
  4. This transaction was executed in multiple trades at prices ranging from $1.29 to $1.30. 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.
  5. 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.
  6. 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. DavidSandberg is the managing member of ROP and the Fund's portfolio manager.
  7. 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.