SEC Form 4 · accession 0001437749-17-020829
SMTC CORP · SMTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Clarke H Bailey
Director
Period of report
Dec 12, 2017
Accepted (ET)
Dec 18, 2017 · 11:39 am 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 | Dec 12, 2017 | M | 37,594 | — | A | 212,796 | 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 | $1.33 | Dec 12, 2017 | M | 37,594 | D | Dec 12, 2017 | Dec 12, 2017 | Common Stock | 37,594 | 0 | D |
| Restricted Stock Unit | $1.60 | Dec 13, 2017 | A | 31,250 | A | Dec 13, 2018 | Dec 13, 2018 | Common Stock | 31,250 | 131,826 | D |
| Stock Options | $2.19 | May 13, 2013 | A | 50,000 | A | Nov 13, 2013 | May 13, 2018 | Common Stock | 50,000 | 50,000 | D |
| Stock Options | $1.80 | Dec 11, 2014 | A | 50,576 | A | Dec 11, 2015 | Dec 11, 2024 | Common Stock | 50,576 | 100,576 | D |
Explanation of responses
- F1Transaction represents vested Restricted stock units converted into the issuer's common stock