SEC Form 4 · accession 0001437749-18-016458
SMTC CORP · SMTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Clarke H Bailey
Director
Period of report
Aug 28, 2018
Accepted (ET)
Aug 31, 2018 · 12:20 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 StockF1 | Aug 28, 2018 | M | 104,181 | $2.25 | A | 366,977 | 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 | $1.60 | 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 |
| Subscription Rights (right to buy) | $2.25 | Aug 28, 2018 | M | 104,181 | A | Jul 23, 2018 | Aug 28, 2018 | Common Stock | 104,181 | 0 | D |
Explanation of responses
- F1Transaction represents 104,181 common shares acquired via the rights offering for a purchase price of $2.25 a share.