SMTC CORP|4Jun 24, 5:02 PM ET

Sandberg David 4

4 · SMTC CORP · Filed Jun 24, 2019

Form 4

Period: 2019-06-20

10% Owner

Transactions

Exercise of In-Money
Common Stock
2019-06-20$3.14/sh+248,620$780,667→ 2,287,313 total(indirect: By The Red Oak Fund, LP directly)
Exercise of In-Money
Common Stock
2019-06-20$3.14/sh+114,547$359,678→ 1,053,838 total
Exercise of In-Money
Common Stock
2019-06-20$3.14/sh+134,627$422,729→ 953,047 total(indirect: By The Red Oak Long Fund, LP directly)
Exercise of In-Money
Subscription Rights (right to buy)
2019-06-20−248,620→ 0 total(indirect: By The Red Oak Fund, LP directly (1)(3))
Exercise: $3.14From: 2019-05-31Exp: 2019-06-20→ Common Stock (248,620 underlying)
Exercise of In-Money
Subscription Rights (right to buy)
2019-06-20−134,627→ 0 total(indirect: By The Red Oak Long Fund, LP directly (1)(2))
Exercise: $3.14From: 2019-05-31Exp: 2019-06-20→ Common Stock (134,627 underlying)
Exercise of In-Money
Subscription Rights (right to buy)
2019-06-20−114,547→ 0 total
Exercise: $3.14From: 2019-05-31Exp: 2019-06-20→ Common Stock (114,547 underlying)

Holdings

Common Stock
(indirect: By The Red Oak Institutional Founders Long Fund, LP directly)
1,820,182

Footnotes (4)

[F1]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.
[F2]Red Oak Partners, LLC ("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.
[F3]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.
[F4]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.

Documents

1 file