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Filing Details

Accession Number:: 0001437749-17-020808
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-12-18 06:02:58
Reporting Period:: 2017-12-12

Accepted Time:: 2017-12-18 06:02:58
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
1423093	David Sandberg	1969 Sw 17Th St. Boca Raton FL 33486		Yes	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2017-12-12	15,038	$1.33	678,919	No	4	M	Indirect	By David Sandberg Directly
Common Stock	Acquisiton	2017-12-13	12,221	$1.60	587,626	No	4	P	Indirect	By the Red Oak Long Fund LP directly
Common Stock	Acquisiton	2017-12-13	23,244	$1.60	1,165,223	No	4	P	Indirect	By the Red Oak Fund LP directly

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Indirect	By David Sandberg Directly
No	4	P	Indirect	By the Red Oak Long Fund LP directly
No	4	P	Indirect	By the Red Oak Fund LP directly

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Restricted Stock Unit	Acquisiton	2017-12-13	12,500	$1.60	12,500	$1.60
Common Stock	Restricted Stock Unit	Disposition	2017-12-12	15,038	$1.33	15,038	$1.33
Common Stock	Stock Options	Acquisiton	2014-12-11	20,230	$1.80	20,230	$1.80

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
32,730	2018-12-13	2018-12-13	No	4	A	Direct
20,230	2017-12-12	2017-12-12	No	4	M	Direct
20,230	2015-12-11	2024-12-11	No	4	A	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	766,968	Indirect	By Pinnacle Opportunities Fund, LP directly
Common Stock	66,603	Indirect	By The Red Oak Institutional Founders Long Fund LP directly

Footnotes

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.
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.
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 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.
These transactions were executed in multiple trades at prices ranging from $1.59 to $1.60. 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.
This transaction represents 15,038 of vested restricted stock units converted into common shares on December 12, 2017.