0001144204-13-032366.txt : 20130530 0001144204-13-032366.hdr.sgml : 20130530 20130530163935 ACCESSION NUMBER: 0001144204-13-032366 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20130530 DATE AS OF CHANGE: 20130530 GROUP MEMBERS: JOSHUA LANDES GROUP MEMBERS: NELSON OBUS GROUP MEMBERS: WYNNEFIELD CAPITAL MANAGEMENT, LLC 13-4018186 GROUP MEMBERS: WYNNEFIELD CAPITAL, INC. 13-3688495 GROUP MEMBERS: WYNNEFIELD CAPITAL, INC. PROFIT SHARING PLAN GROUP MEMBERS: WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. I 13-3953291 GROUP MEMBERS: WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD. (NO IRS IDENT SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SMTC CORP CENTRAL INDEX KEY: 0001108320 STANDARD INDUSTRIAL CLASSIFICATION: PRINTED CIRCUIT BOARDS [3672] IRS NUMBER: 980197680 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60537 FILM NUMBER: 13882222 BUSINESS ADDRESS: STREET 1: 635 HOOD ROAD STREET 2: MARKHAM CITY: ONTARIO CANADA ZIP: L3R 4N6 BUSINESS PHONE: 9054791810 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WYNNEFIELD PARTNERS SMALL CAP VALUE LP CENTRAL INDEX KEY: 0000899083 IRS NUMBER: 133688497 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 450 SEVENTH AVENUE STREET 2: SUITE 509 CITY: NEW YORK STATE: NY ZIP: 10123 BUSINESS PHONE: 212-760-0814 MAIL ADDRESS: STREET 1: 450 SEVENTH AVENUE STREET 2: SUITE 509 CITY: NEW YORK STATE: NY ZIP: 10123 SC 13D/A 1 v346630_sc13da.htm SC 13D/A

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

SCHEDULE 13D

Under the Securities Exchange Act of 1934

(Amendment No. 1)

 

SMTC CORPORATION

(Name of Issuer)

 

Common Stock, $.01 par value

(Title of Class of Securities)

 

832682207

(CUSIP Number)

  

(Name, Address and Telephone Number of Person

Authorized to Receive Notices and Communications)

 

Wynnefield Partners Small Cap Value, L.P.

450 Seventh Avenue, Suite 509

New York, New York 10123

Attention: Mr. Nelson Obus

 

May 30, 2013

(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 which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4) check the following box ¨.

 

The information required in 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, as amended (the “Act”), or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act.

 

 
 

 

SCHEDULE 13D

 

CUSIP No. 832682207   Page 2  of  11 Pages

 

1

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Wynnefield Partners Small Cap Value, L.P. 13-3688497

 

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) ¨

(b) x

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS*

 

WC

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨

 

6

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Delaware

 

NUMBER OF

SHARES

BENEFICIALLY

 

 7

SOLE VOTING POWER

 

198,654 (See Item 5)

OWNED BY

EACH

 

 8

SHARED VOTING POWER

 

0 (See Item 5)

 

REPORTING

 

 9

SOLE DISPOSITIVE POWER

 

198,654 (See Item 5)

PERSON WITH 10

SHARED DISPOSITIVE POWER

 

0 (See Item 5)

 

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

198,654 (See Item 5)

12

 

 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* o

13

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

1.2%

 

14

 

TYPE OF REPORTING PERSON*

 

PN

       

   

2
 

 

SCHEDULE 13D

 

CUSIP No. 832682207   Page 3  of  11 Pages

 

1

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Wynnefield Partners Small Cap Value L.P. I 13-3953291

 

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) ¨

(b) x

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS*

 

WC

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨

 

6

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Delaware

 

NUMBER OF

SHARES

BENEFICIALLY

 

 7

SOLE VOTING POWER

 

310,669 (See Item 5)

OWNED BY

EACH

 

 8

SHARED VOTING POWER

 

0 (See Item 5)

 

REPORTING

 

 9

SOLE DISPOSITIVE POWER

 

310,669 (See Item 5)

PERSON WITH 10

SHARED DISPOSITIVE POWER

 

0 (See Item 5)

 

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

310,669 (See Item 5)

12

 

 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* o

13

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

1.9%

 

14

 

TYPE OF REPORTING PERSON*

 

PN

       

 

3
 

 

SCHEDULE 13D

 

CUSIP No. 832682207   Page 4  of  11 Pages

 

1

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Wynnefield Small Cap Value Offshore Fund, Ltd. (No IRS Identification No.)

 

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) ¨

(b) x

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS*

 

WC

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨

 

6

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Cayman Islands

 

NUMBER OF

SHARES

BENEFICIALLY

 

 7

SOLE VOTING POWER

 

151,062 (See Item 5)

OWNED BY

EACH

 

 8

SHARED VOTING POWER

 

0 (See Item 5)

 

REPORTING

 

 9

SOLE DISPOSITIVE POWER

 

151,062 (See Item 5)

 

PERSON WITH 10

SHARED DISPOSITIVE POWER

 

0 (See Item 5)

 

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

151,062 (See Item 5)

 

12

 

 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* o

13

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

0.9%

 

14

 

TYPE OF REPORTING PERSON*

 

CO

       

 

4
 

 

SCHEDULE 13D

 

CUSIP No. 832682207   Page 5  of  11 Pages

 

1

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Wynnefield Capital, Inc. Profit Sharing Plan

 

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) ¨

(b) x

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS*

 

N/A

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨

 

6

CITIZENSHIP OR PLACE OF ORGANIZATION

 

United States

 

NUMBER OF

SHARES

BENEFICIALLY

 

 7

SOLE VOTING POWER

 

200,365 (See Item 5)

OWNED BY

EACH

 

 8

SHARED VOTING POWER

 

0 (See Item 5)

 

REPORTING

 

 9

SOLE DISPOSITIVE POWER

 

200,365 (See Item 5)

 

PERSON WITH 10

SHARED DISPOSITIVE POWER

 

0 (See Item 5)

 

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

200,365 (See Item 5)

 

12

 

 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* o

13

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

1.2%

 

14

 

TYPE OF REPORTING PERSON*

 

EP

       

 

5
 

 

SCHEDULE 13D

 

CUSIP No. 832682207   Page 6  of  11 Pages

 

1

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Wynnefield Capital Management, LLC 13-4018186

 

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) ¨

(b) x

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS*

 

N/A

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨

 

6

CITIZENSHIP OR PLACE OF ORGANIZATION

 

New York

 

NUMBER OF

SHARES

BENEFICIALLY

 

 7

SOLE VOTING POWER

 

509,323 (See Item 5)

OWNED BY

EACH

 

 8

SHARED VOTING POWER

 

0 (See Item 5)

 

REPORTING

 

 9

SOLE DISPOSITIVE POWER

 

509,323 (See Item 5)

 

PERSON WITH 10

SHARED DISPOSITIVE POWER

 

0 (See Item 5)

 

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

509,323 (See Item 5)

 

12

 

 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* o

13

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

3.1%

 

14

 

TYPE OF REPORTING PERSON*

 

OO

       

 

 

6
 

 

SCHEDULE 13D

 

CUSIP No. 832682207   Page 7  of  11 Pages

 

1

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Wynnefield Capital, Inc. 13-3688495

 

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) ¨

(b) x

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS*

 

N/A

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨

 

6

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Delaware

 

NUMBER OF

SHARES

BENEFICIALLY

 

 7

SOLE VOTING POWER

 

151,062 (See Item 5)

OWNED BY

EACH

 

 8

SHARED VOTING POWER

 

0 (See Item 5)

 

REPORTING

 

 9

SOLE DISPOSITIVE POWER

 

151,062 (See Item 5)

 

PERSON WITH 10

SHARED DISPOSITIVE POWER

 

0 (See Item 5)

 

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

151,062 (See Item 5)

 

12

 

 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* o

13

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

0.9%

 

14

 

TYPE OF REPORTING PERSON*

 

CO

       

 

7
 

 

SCHEDULE 13D

 

CUSIP No. 832682207   Page 8  of  11 Pages

 

1

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Nelson Obus

 

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) ¨

(b) x

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS*

 

N/A

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨

 

6

CITIZENSHIP OR PLACE OF ORGANIZATION

 

United States

 

NUMBER OF

SHARES

BENEFICIALLY

 

 7

SOLE VOTING POWER

 

860,750 (See Item 5)

OWNED BY

EACH

 

 8

SHARED VOTING POWER

 

0 (See Item 5)

 

REPORTING

 

 9

SOLE DISPOSITIVE POWER

 

860,750 (See Item 5)

 

PERSON WITH 10

SHARED DISPOSITIVE POWER

 

0 (See Item 5)

 

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

860,750 (See Item 5)

 

12

 

 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* o

13

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

5.3%

 

14

 

TYPE OF REPORTING PERSON*

 

IN

       

8
 

 

SCHEDULE 13D

 

CUSIP No. 832682207   Page 9  of  11 Pages

 

1

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Joshua Landes

 

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) ¨

(b) x

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS*

 

N/A

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨

 

6

CITIZENSHIP OR PLACE OF ORGANIZATION

 

United States

 

NUMBER OF

SHARES

BENEFICIALLY

 

 7

SOLE VOTING POWER

 

660,385 (See Item 5)

 

OWNED BY

EACH

 

 8

SHARED VOTING POWER

 

0 (See Item 5)

 

REPORTING

 

 9

SOLE DISPOSITIVE POWER

 

660,385 (See Item 5)

 

PERSON WITH 10

SHARED DISPOSITIVE POWER

 

0 (See Item 5)

 

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

660,385 (See Item 5)

 

12

 

 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* o

13

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

4.0%

 

14

 

TYPE OF REPORTING PERSON*

 

IN

       

 

9
 

 

Item 1. Security and Issuer.

 

This Amendment No. 1 to Schedule 13D relates to the Common Stock, $.01 value per share (the “Common Stock”), of SMTC Corporation, a Delaware corporation (the “Issuer”). This Amendment amends and supplements the Items set forth below of the Wynnefield Reporting Persons’ Schedule 13D previously filed with the Securities and Exchange Commission on May 24, 2013 (Accession Number: 0001144204-13-031579) (the “Initial Statement”). Terms defined in the Initial Statement are used herein with the same meaning.

 

Item 2. Identity and Background.

 

The Wynnefield Reporting Persons are filing this amendment to terminate their filing obligation under Section 13(d) of the Securities Exchange Act of 1934, as amended, and instead are taking advantage of their eligibility to simultaneously file an initial Schedule 13G reflecting their beneficial ownership of Common Stock of the Issuer. The Wynnefield Reporting Persons reserve all rights as specified under Item 4 of the Initial Schedule and may determine to convert their Schedule 13G to a Schedule 13D at a future date.

 

10
 

 

SIGNATURE

 

After reasonable inquiry and to the best of our knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.

 

Dated: May 30, 2013

 

  WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P.
       
  By: Wynnefield Capital Management, LLC, General Partner
       
    By: /s/ Nelson Obus
      Nelson Obus, Managing Member
       
  WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P. I
   
  By: Wynnefield Capital Management, LLC, General Partner
       
    By: /s/ Nelson Obus
      Nelson Obus, Managing Member
       
  WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD.
   
  By: Wynnefield Capital, Inc.
     
    By: /s/ Nelson Obus
      Nelson Obus, President
       
  WYNNEFIELD CAPITAL, INC. PROFIT SHARING PLAN
   
    By: /s/ Nelson Obus
      Nelson Obus, Authorized Signatory
       
  WYNNEFIELD CAPITAL MANAGEMENT, LLC
   
    By: /s/ Nelson Obus
      Nelson Obus, Co-Managing Member
       
  WYNNEFIELD CAPITAL, INC.
   
    By: /s/ Nelson Obus
      Nelson Obus, President
       
  /s/ Nelson Obus
  Nelson Obus, Individually
       
  /s/ Joshua Landes
  Joshua Landes, Individually

 

11