0001437749-17-012238.txt : 20170705 0001437749-17-012238.hdr.sgml : 20170705 20170705163015 ACCESSION NUMBER: 0001437749-17-012238 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170705 DATE AS OF CHANGE: 20170705 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 7050 WOODBINE AVENUE STREET 2: SUITE 300 CITY: MARKHAM STATE: A6 ZIP: L3R4G8 BUSINESS PHONE: 9054791810 MAIL ADDRESS: STREET 1: 7050 WOODBINE AVENUE STREET 2: SUITE 300 CITY: MARKHAM STATE: A6 ZIP: L3R4G8 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sandberg David CENTRAL INDEX KEY: 0001423093 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-31051 FILM NUMBER: 17948515 MAIL ADDRESS: STREET 1: 150 E PALMETTO PARK ROAD STREET 2: SUITE 800 CITY: BOCA RATON STATE: FL ZIP: 33432 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Red Oak Partners, LLC CENTRAL INDEX KEY: 0001325533 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-31051 FILM NUMBER: 17948516 BUSINESS ADDRESS: STREET 1: 150 E PALMETTO PARK ROAD STREET 2: SUITE 800 CITY: BOCA RATON STATE: FL ZIP: 33432 BUSINESS PHONE: 6466883436 MAIL ADDRESS: STREET 1: 1441 BROADWAY STREET 2: SUITE 5022 CITY: NEW YORK STATE: NY ZIP: 10018 4 1 rdgdoc.xml FORM 4 X0306 4 2017-06-30 0001108320 SMTC CORP SMTX 0001325533 Red Oak Partners, LLC 1441 BROADWAY SUITE 5022 NEW YORK NY 10018 1 0001423093 Sandberg David 1969 SW 17TH ST. BOCA RATON FL 33486 1 1 Common Stock 2017-06-30 4 P 0 200 1.30 A 625844 I By Pinnacle Opportunities Fund, LP directly Common Stock 66603 I By The Red Oak Institutional Founders Long Fund LP directly Common Stock 663881 I By David Sandberg Directly Common Stock 1088470 I By the Red Oak Fund LP directly Common Stock 523679 I By the Red Oak Long Fund LP directly Restricted Stock Unit 1.3300 2017-12-12 2017-12-12 Common Stock 15038 35268 D Stock Options 1.8000 2015-12-11 2025-12-11 Common Stock 20230 20230 D 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. 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. 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. 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. 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. /s/ David Sandberg 2017-07-05