X0306 4 2020-11-04 0 0001108320 SMTC CORP SMTX 0001254727 FITZGERALD RICHARD E 7050 WOODBINE AVENUE SUITE 300 MARKHAM A6 L3R 4G8 ONTARIO, CANADA 0 1 0 0 COO COMMON STOCK 2020-11-04 4 M 0 201558 1.26 A 292182 D COMMON STOCK 2020-11-04 4 F 0 37500 3.65 D 254682 D Employee Stock Option (Right to Buy) 1.26 2020-11-04 4 M 0 201558 0.00 D 2027-06-05 Common Stock 201558 134371 D Represents a "net exercise" of outstanding stock options. The reporting person received 164,058 shares of common stock on net exercise of options to purchase 201,558 shares of common stock. The reporting person forfeited 37,500 shares of common stock underlying the option in payment of the applicable tax withholding, using the closing stock price on November 4, 2020 of $3.65. 60% of the total stock option granted vested after the average closing closing share price of SMTC Corporation's common stock on the NASDAQ Stock Market was above each of $2.00, $3.00 and $4.00 per share for a 90-day period. Richard Fitzgerald 2020-11-06