SEC Form 4 · accession 0001437749-18-009476
SMTC CORP · SMTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Clarke H Bailey
Director
Period of report
May 10, 2018
Accepted (ET)
May 10, 2018 · 5:36 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 SharesF1 | May 10, 2018 | M | 50,000 | — | A | 262,796 | 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 | May 10, 2018 | M | 50,000 | D | Nov 13, 2013 | May 13, 2018 | Common Stock | 50,000 | 0 | D |
| Restricted Stock Unit | $1.60 | Dec 13, 2017 | A | 31,250 | A | Dec 13, 2018 | Dec 13, 2018 | Common Stock | 31,250 | 31,250 | D |
| Stock Options | $1.80 | Dec 11, 2014 | A | 50,576 | A | Dec 11, 2015 | Dec 11, 2024 | Common Stock | 50,576 | 50,576 | D |
Explanation of responses
- F1Transaction represents 50,000 vested stock options exercised on a 1:1 basis for 50,000 common shares at a strike price of $2.19 on May 10, 2018.