SEC Form 4 · accession 0001437749-17-002507
SMTC CORP · SMTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger Dunfield
Officer — CFO
Period of report
Feb 12, 2017
Accepted (ET)
Feb 14, 2017 · 6:35 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001108320
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Feb 12, 2017 | M | 27,778 | — | A | 27,778 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2 | — | Feb 12, 2017 | M | 27,778 | D | Feb 12, 2017 | Feb 12, 2017 | Common Stock | 27,778 | 0 | D |
Explanation of responses
- F1This transaction represents the settlement of a restricted stock unit award granted on February 12, 2016 into shares of SMTC Corporation's common stock on its scheduled vesting date, and does not represent an open market purchase transaction.
- F2Restricted stock units convert into shares of SMTC Corporation's common stock on a one-for-one basis.