X0306 4 2015-12-11 0001108320 SMTC CORP SMTX 0001423093 Sandberg David 1969 SW 17TH ST. BOCA RATON FL 33486 1 0001325533 Red Oak Partners, LLC 1969 SW 17TH ST. BOCA RATON FL 33486 1 Common Stock 2015-06-02 4 A 0 5556 1.45 A 648956 D Common Stock 501308 I By Pinnacle Opportunities Fund, LP directly Common Stock 1088470 I By the Red Oak Fund LP directly Common Stock 523679 I By the Red Oak Long Fund LP 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 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. 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. 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. /s/ David Sandberg 2015-12-14