X0306 4 2013-08-28 0 0001108320 SMTC CORP SMTX 0001325533 Red Oak Partners, LLC 304 PARK AVE SOUTH 11TH FL NEW YORK NY 10010 0 0 1 0 0001423093 Sandberg David 304 PARK AVE SOUTH 11TH FLOOR NEW YORK NY 10010 1 0 0 0 Common Stock 2013-08-28 4 P 0 14600 1.9 A 1944337 I By Pinnacle Opportunities Fund, LP Common Stock 625000 I By David Sandberg directly 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 a managing member of Pinnacle Partners, LLC, a Colorado limited liability limited company ("Pinnacle Partners"). Pinnacle Partners is the general partner of Pinnacle Opportunities Fund, LP (formerly Pinnacle Fund, LLLP), 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. These shares were purchased subsequent to an exemption granted to Pinnacle Fund on June 12, 2013 and based on when Pinnacle Fund was eligible to purchase shares with respect to dates when insiders of SMTC are eligible to trade. David Sandberg is a Director of SMTC's Board of Directors. David Sandberg 2013-08-29