SEC Form 4 · accession 0001437749-18-022064
SMTC CORP · SMTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Randall Waterfield
Director
Period of report
Dec 12, 2018
Accepted (ET)
Dec 14, 2018 · 7:59 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 StockF1 | Dec 12, 2018 | A | 5,420 | $0.00 | A | 844,280 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reported transaction involved the reporting person's receipt of a grant of 5,420 shares of restricted stock under SMTC Corp's 2010 Incentive Plan. The reporting person has reported prior awards of restricted stock units in Table II of Form 4. The total reported in Column 5 includes the 5,420 newly awarded shares of restricted stock units, 12,500 previously reported restricted stock units, and 826,360 shares of common stock.