13D Filing: Red Oak Partners, LLC and SMTC Corp (SMTX)

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You can access the original SEC filing by clicking here.

Ownership Summary Table

Name Sole Voting Power Shared Voting Power Sole Dispositive Power Shared Dispositive Power Aggregate Amount Owned Power Percent of Class
David Sandberg 8 3,157,319 10 3,157,319 3,157,319 18.77%
Red Oak Partners 8 2,493,438 10 2,493,438 2,493,438 14.82%
The Red Oak Fund 8 1,128,007 10 1,128,007 1,128,007 6.70%
The Red Oak Long Fund 8 540,979 10 540,979 540,979 3.22%
The Red Oak Institutional Founders Long Fund 8 66,603 10 66,603 66,603 0.40%
Pinnacle Capital Partners 8 757,849 10 757,849 757,849 4.50%
Pinnacle Opportunities Fund 8 757,849 10 757,849 757,849 4.50%

Page 1 of 8 – SEC Filing


Washington, D.C. 20549


Under the Securities Exchange Act of 1934

(Amendment No.  9)*

SMTC Corporation

(Name of Issuer)

Common Stock, $0.01 Par Value

(Title of Class of Securities)


(CUSIP Number)


Attn: David Sandberg

150 E Palmetto Park Road, Suite 800

Boca Raton, FL 33482

(212) 614-8952

 (Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)

                                       September 20, 2017                                    

(Date of Event which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box

Note:  Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits.  See Rule 13d-7 for other parties to whom copies are to be sent.

*The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

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