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Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2017-01-06 17:16:47
Reporting Period:
Filing Date:
Accepted Time:
2017-01-06 17:16:47
SEC Url:
Form 4 Filing
Cik Name Symbol Sector (SIC) IRS No
1108320 Smtc Corp SMTX Printed Circuit Boards (3672) 980197680
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1595916 Sushil Dhiman C/o Smtc Corporation
635 Hood Road
Markham A6 L3R 4N6
President And Ceo Yes Yes 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 2017-01-06 109,170 $0.00 224,970 No 4 M Direct
Common Stock Disposition 2017-01-06 35,000 $1.41 189,970 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted Stock Units Disposition 2017-01-06 109,170 $0.00 109,170 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2017-01-06 2017-01-06 No 4 M Direct
  1. Restricted stock units convert into the issuer's common stock, par value $0.01 per share ("Common Stock") on a one-for-one basis.
  2. The sales of Common Stock reported in this Form 4 were effected pursuant to a Rule 10b5-1 sales plan that was adopted by the reporting person on November 16, 2016 in order to cover tax obligations arising out of the vesting of the restricted stock units.
  3. The price in column 4 is a weighted average price. These shares of Common Stock were sold in multiple transactions ranging in price from $1.37 to $1.47, inclusive. For all transactions reported in this Form 4 utilizing a weighted average share price, the reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the range.