0001437749-17-020827.txt : 20171218 0001437749-17-020827.hdr.sgml : 20171218 20171218113920 ACCESSION NUMBER: 0001437749-17-020827 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171212 FILED AS OF DATE: 20171218 DATE AS OF CHANGE: 20171218 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Waterfield John Randall CENTRAL INDEX KEY: 0001524368 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-31051 FILM NUMBER: 171260756 MAIL ADDRESS: STREET 1: 140 BROADWAY, 46TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 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 4 1 rdgdoc.xml FORM 4 X0306 4 2017-12-12 0001108320 SMTC CORP SMTX 0001524368 Waterfield John Randall 140 BROADWAY, 46TH FLOOR NEW YORK NY 10005 1 Common Shares 2017-12-14 2017-12-14 4 P 0 58200 1.64 A 539242 D Common Shares 2017-12-12 2017-12-12 4 M 0 15038 A 481042 D Restricted Stock Unit 1.33 2017-12-12 2017-12-12 4 M 0 15038 0 D 2017-12-12 2017-12-12 Common Stock 15038 0 D Restricted Stock Unit 1.60 2017-12-13 4 A 0 12500 1.33 A 2018-12-13 2018-12-13 Common Stock 12500 32730 D Stock Options 1.80 2014-12-11 4 A 0 20230 1.80 A 2015-12-11 2024-12-11 Common Stock 20230 20230 D Transaction represents vested Restricted stock units converted into the issuer's common stock /s/ Randall Waterfield 2017-12-18