X0306 4 2019-06-25 0001108320 SMTC CORP SMTX 0001423093 Sandberg David 1441 BROADWAY SUITE 5022 NEW YORK NY 10018 1 1 0001325533 Red Oak Partners, LLC 1441 BROADWAY SUITE 5022 NEW YORK NY 10018 1 Common Stock 2019-06-25 4 X 0 27879 3.14 A 980926 I By The Red Oak Long Fund, LP directly Common Stock 2019-06-25 4 X 0 52282 3.14 A 2339595 I By The Red Oak Fund, LP directly Common Stock 1053838 D Common Stock 1820182 I By The Red Oak Institutional Founders Long Fund, LP directly Subscription Rights (right to buy) 3.14 2019-06-25 4 X 0 27879 0 D 2019-05-31 2019-06-25 Common Stock 27879 0 I By The Red Oak Long Fund, LP directly Subscription Rights (right to buy) 3.14 2019-06-25 4 X 0 52282 0 D 2019-05-31 2019-06-25 Common Stock 52282 0 I By The Red Oak Fund, LP directly Represents the exercise of over-subscription rights by the reporting person in the offering of subscription rights (the "Rights Offering") by SMTC Corporation, which Rights Offering expired on June 20, 2019. All over-subscriptions in the Rights Offering were subject to proration. On June 25, 2019, the subscription agent for the Rights Offering completed its proration calculations, pursuant to which the reporting person recived its pro rata portion of the shares issued pursuant to all rights holders' over-subscription privileges. 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. Red Oak Partners, LLC ("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. Includes 766,968 shares of common stock that were transferred from Pinnacle Opportunities Fund, LP, a Delaware limited partnership ("Pinnacle Fund"), to The Red Oak Fund, LP., a Delaware limited partnership (the "Fund"), on December 31, 2018. ROP served as a managing member of Pinnacle Capital Partners, LLC, a Florida limited liability company ("Pinnacle Partners") and general partner of Pinnacle Fund. ROP serves as the general partner of 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 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. /s/ David Sandberg 2019-06-27