SEC Form 4 · accession 0001437749-17-011776
SMTC CORP · SMTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Clarke H Bailey
Director
Period of report
Jun 23, 2017
Accepted (ET)
Jun 23, 2017 · 5:12 pm EDT
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 Shares | Jun 23, 2017 | P | 21,275 | $1.30 | A | 175,202 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options | $2.19 | holding | — | — | — | May 14, 2014 | May 14, 2018 | Common Stock | 50,000 | 50,000 | D |
| Stock Options | $1.80 | holding | — | — | — | Dec 12, 2015 | Dec 12, 2024 | Common Stock | 50,576 | 100,576 | D |
| Restricted Stock Unit | $1.33 | holding | — | — | — | Dec 12, 2017 | Dec 12, 2017 | Common Stock | 37,594 | 138,170 | D |