4//SEC Filing
Sandberg David 4
Accession 0001437749-19-024358
CIK 0001108320other
Filed
Dec 11, 7:00 PM ET
Accepted
Dec 12, 9:24 PM ET
Size
9.4 KB
Accession
0001437749-19-024358
Insider Transaction Report
Form 4
SMTC CORPSMTX
Sandberg David
10% Owner
Transactions
- Award
Common Stock
2019-12-10+7,082→ 1,060,920 total
Holdings
- 1,820,182(indirect: By The Red Oak Institutional Founders Long Fund, LP directly)
Common Stock
- 980,926(indirect: By The Red Oak Long Fund, LP directly)
Common Stock
- 2,339,595(indirect: By The Red Oak Fund, LP directly)
Common Stock
Red Oak Partners, LLC
10% Owner
Transactions
- Award
Common Stock
2019-12-10+7,082→ 1,060,920 total
Holdings
- 2,339,595(indirect: By The Red Oak Fund, LP directly)
Common Stock
- 1,820,182(indirect: By The Red Oak Institutional Founders Long Fund, LP directly)
Common Stock
- 980,926(indirect: By The Red Oak Long Fund, LP directly)
Common Stock
Footnotes (5)
- [F1]Represents restricted stock granted pursuant to the issuer's 2019 Incentive Plan, which has a forfeiture schedule if certain time-based service conditions are not met over a 12-month period in 2020.
- [F2]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.
- [F3]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.
- [F4]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.
- [F5]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
Issuer
SMTC CORP
CIK 0001108320
Entity typeother
Related Parties
1- filerCIK 0001423093
Filing Metadata
- Form type
- 4
- Filed
- Dec 11, 7:00 PM ET
- Accepted
- Dec 12, 9:24 PM ET
- Size
- 9.4 KB