SEC Form 4 · accession 0001437749-17-003447
SMTC CORP · SMTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederick Gerald Wasserman
Director
Period of report
Feb 27, 2017
Accepted (ET)
Feb 28, 2017 · 5:44 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 SharesF1 | Feb 27, 2017 | M | 14,925 | — | A | 35,406 | 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 Unit | $1.34 | Feb 27, 2017 | M | 14,925 | D | Feb 27, 2017 | Feb 27, 2017 | Common Stock | 14,925 | 0 | D |
| Restricted Stock Unit | $1.33 | Dec 12, 2016 | A | 15,038 | A | Dec 12, 2017 | Dec 12, 2017 | Common stock | 15,038 | 0 | D |
Explanation of responses
- F1Restricted stock units convert into the issuer's common stock, par value $0.01 per share ("Common Stock") on a one-for-one basis.