X0306 4 2017-12-11 0 0001108320 SMTC CORP SMTX 0001325533 Red Oak Partners, LLC 1441 BROADWAY SUITE 5022 NEW YORK NY 10018 0 0 1 0 0001423093 Sandberg David 150 E PALMETTO PARK ROAD SUITE 800 BOCA RATON FL 33432 1 0 0 0 Common Stock 2017-12-11 4 P 0 23979 1.589 A 571467 I By The Red Oak Long Fund LP Common Stock 2017-12-12 4 P 0 3938 1.579 A 575405 I By The Red Oak Long Fund LP Common Stock 766968 I By Pinnacle Opportunities Fund LP Common Stock 1141979 I By The Red Oak Fund LP Common Stock 66603 I By The Red Oak Institutional Founders Long Fund LP Common Stock 663881 I By David Sandberg Directly Restricted Stock Unit 1.33 2017-12-12 2017-12-12 Common Stock 15038 35268 D Restricted Stock Unit 1.8 2015-12-11 2025-12-11 Common Stock 20230 20230 D 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. 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. 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. This transaction was executed in multiple trades at prices ranging from $1.58 to $1.59. The price reported in Column 4 of Table I reflects the weighted average transaction price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected. This transaction was executed in multiple trades at prices ranging from $1.57 to $1.59. The price reported in Column 4 of Table I reflects the weighted average transaction price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected. David Sandberg 2017-12-13