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Filing Details

Accession Number:
0001325533-16-000025
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-12-28 07:03:20
Reporting Period:
2016-12-22
Filing Date:
2016-12-28
Accepted Time:
2016-12-28 07:03:20
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1108320 Smtc Corp SMTX Printed Circuit Boards (3672) 980197680
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1325533 Red Oak Partners, Llc 1441 Broadway
Suite 5022
New York NY 10018
No No Yes No
1423093 David Sandberg 1969 Sw 17Th Street
Boca Raton FL 33486
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2016-12-22 12,002 $1.58 66,603 No 4 P Indirect By The Red Oak Institutional Founders Long Fund LP directly
Common Stock Disposition 2016-12-22 12,002 $1.58 0 No 4 S Indirect By the Wolverine Trading LLC directly
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By The Red Oak Institutional Founders Long Fund LP directly
No 4 S Indirect By the Wolverine Trading LLC directly
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 648,956 Indirect By David Sandberg Directly
Common Stock 501,308 Indirect By Pinnacle Opportunities Fund, LP directly
Common Stock 1,088,470 Indirect By the Red Oak Fund LP directly
Common Stock 523,679 Indirect By the Red Oak Long Fund LP directly
Footnotes
  1. Red Oak Partners, LLC ("ROP") serves as the general partner of The Red Oak Fund, LP, a Delaware limited partnership (the "Fund"), the direct owner of the subject securities. David Sandberg is the managing member of ROP and the Fund's portfolio manager.
  2. ROP serves as a managing member of Pinnacle Capital Partners, LLC, a Florida limited liability company ("Pinnacle Partners"). Pinnacle Partners is the general partner of Pinnacle Opportunities Fund, LP, a Delaware limited partnership ("Pinnacle Fund"), the direct owner of the subject securities.
  3. ROP serves as the general partner of The Red Oak Long Fund, LP, a Delaware limited partnership (the "Long Fund"), the direct owner of the subject securities. David Sandberg is the managing member of ROP and the Long Fund's portfolio manager.
  4. Each Reporting Person disclaims beneficial ownership of all securities reported herein, except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities and Exchange Act of 1934 or for any other purpose.
  5. ROP serves as the general partner of The Red Oak Institutional Founders Long Fund, LP, a Delaware limited partnership (the "Founders Fund"), the direct owner of the subject securities. David Sandberg is the managing member of ROP and the Founders Fund's portfolio manager.
  6. ROP serves as the investment manager and has trading and voting authority over shares held in a separate managed account held by Wolverine Trading LLC ("Wolverine"). David Sandberg is the managing member of ROP.
  7. Transfer of direct beneficial ownership from Wolverine to Founders Fund.