X0306 4 2018-08-28 0001108320 SMTC CORP SMTX 0001524368 Waterfield John Randall 140 BROADWAY, 46TH FLOOR NEW YORK NY 10005 1 Common Stock 2018-08-28 4 M 0 287118 2.25 A 826360 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 12500 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 Subscription Rights (right to buy) 2.25 2018-08-28 4 M 0 287118 0 A 2018-07-23 2018-08-28 Common Stock 287118 0 D Transaction represents 287,118 common shares acquired via the rights offering for a purchase price of $2.25 a share. /s/ Randall Waterfield 2018-08-31