Red Oak Partners, LLC

SEC source: 0001325533-24-000004 · primary_doc.xml · nonDerivative · entry 1

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By The Red Oak Fund, LP directly

Disclosed balance after: 3,899,709

F4 · shares: Shares purchased pursuant to a private transaction.

F1 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0001325533-24-000002 · primary_doc.xml · nonDerivative · entry 2

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By The Red Oak Long Fund, L.P. directly

Disclosed balance after: 1,706,300

F4 · price: This transaction was executed subject to terms of a purchase agreement ("Purchase Agreement") between ROP and the seller.

F2 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0001325533-24-000002 · primary_doc.xml · nonDerivative · entry 1

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By The Red Oak Fund, L.P. directly

Disclosed balance after: 2,799,237

F4 · price: This transaction was executed subject to terms of a purchase agreement ("Purchase Agreement") between ROP and the seller.

F1 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0001209191-21-025682 · doc4.xml · nonDerivative · entry 4

Sandberg David · CIK 0001423093 · Director · 10% owner

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Institutional Founders Long Fund, LP directly

Disclosed balance after: 0

F1 · kind: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 3, 2021, by and among EMS Silver Inc. ("EMS Silver"), EMS Silver Merger Sub Inc., a wholly owned subsidiary of EMS Silver, and the issuer, pursuant to which, at the effective time of the merger, the outstanding shares of the issuers common stock were converted into the right to receive $6.044 per share in cash, without interest.

F2 · ownership.nature: 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.

F5 · ownership.nature: 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.

SEC source: 0001209191-21-025682 · doc4.xml · nonDerivative · entry 3

Sandberg David · CIK 0001423093 · Director · 10% owner

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Fund, LP directly

Disclosed balance after: 0

F1 · kind: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 3, 2021, by and among EMS Silver Inc. ("EMS Silver"), EMS Silver Merger Sub Inc., a wholly owned subsidiary of EMS Silver, and the issuer, pursuant to which, at the effective time of the merger, the outstanding shares of the issuers common stock were converted into the right to receive $6.044 per share in cash, without interest.

F4 · shares: 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.

F2 · ownership.nature: 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.

F4 · ownership.nature: 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.

SEC source: 0001209191-21-025682 · doc4.xml · nonDerivative · entry 2

Sandberg David · CIK 0001423093 · Director · 10% owner

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Long Fund, LP directly

Disclosed balance after: 0

F1 · kind: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 3, 2021, by and among EMS Silver Inc. ("EMS Silver"), EMS Silver Merger Sub Inc., a wholly owned subsidiary of EMS Silver, and the issuer, pursuant to which, at the effective time of the merger, the outstanding shares of the issuers common stock were converted into the right to receive $6.044 per share in cash, without interest.

F2 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0001209191-21-025682 · doc4.xml · nonDerivative · entry 1

Sandberg David · CIK 0001423093 · Director · 10% owner

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 3, 2021, by and among EMS Silver Inc. ("EMS Silver"), EMS Silver Merger Sub Inc., a wholly owned subsidiary of EMS Silver, and the issuer, pursuant to which, at the effective time of the merger, the outstanding shares of the issuers common stock were converted into the right to receive $6.044 per share in cash, without interest.

SEC source: 0001325533-20-000001 · primary_doc.xml · nonDerivative · entry 1

Red Oak Partners, LLC · CIK 0001325533 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Fund, LP directly

Disclosed balance after: 222,673

F5 · shares: Sale of securities were made pursuant to a Rule 10B5-1 plan adopted by ROP on June 16, 2020.

F4 · price: These transactions were executed in multiple trades at prices ranging from $7.50 to $7.72. The price reported in Column 4 of Table I reflects the weighted average selling price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected.

F1 · ownership.nature: 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.

F2 · ownership.nature: Red Oak Partners, LLC ("ROP") serves as the general partner of The Red Oak Fund, LP, a Delaware limited partnership (the "Red Oak Fund"), the direct owner of the subject securities. David Sandberg is the managing member of ROP and the Red Oak Fund's portfolio manager.

SEC source: 0001185185-20-000648 · ownership.xml · nonDerivative · entry 2

Red Oak Partners, LLC · CIK 0001325533 · Director

Sandberg David · CIK 0001423093 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Long Fund, LP directly

Disclosed balance after: 61,290

F4 · price: These transactions were executed in multiple trades at prices ranging from $7.30 to $7.54. The price reported in Column 4 of Table I reflects the weighted average selling price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected.

F1 · ownership.nature: 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.

F3 · ownership.nature: ROP serves as the general partner of The Red Oak Long Fund, LP, a Delaware limited partnership (the "Red Oak Long Fund"), the direct owner of the subject securities. David Sandberg is the managing member of ROP and the Red Oak Long Fund's portfolio manager.

SEC source: 0001185185-20-000648 · ownership.xml · nonDerivative · entry 1

Red Oak Partners, LLC · CIK 0001325533 · Director

Sandberg David · CIK 0001423093 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Fund, LP directly

Disclosed balance after: 253,125

F4 · price: These transactions were executed in multiple trades at prices ranging from $7.30 to $7.54. The price reported in Column 4 of Table I reflects the weighted average selling price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected.

F1 · ownership.nature: 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.

F2 · ownership.nature: Red Oak Partners, LLC ("ROP") serves as the general partner of The Red Oak Fund, LP, a Delaware limited partnership (the "Red Oak Fund"), the direct owner of the subject securities. David Sandberg is the managing member of ROP and the Red Oak Fund's portfolio manager.

SEC source: 0001325533-19-000008 · primary_doc.xml · nonDerivative · entry 3

Red Oak Partners, LLC · CIK 0001325533 · Director

Sandberg David · CIK 0001423093 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Institutional Founders Long Fund, LP directly

Disclosed balance after: 0

F5 · price: These transactions were executed in multiple trades at prices ranging from $8.20 to $8.21. The price reported in Column 4 of Table I reflects the weighted average purchase price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected.

F1 · ownership.nature: 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.

F4 · ownership.nature: ROP serves as the general partner of The Red Oak Institutional Founders Long Fund, LP, a Delaware limited partnership (the "Red Oak Founders Fund"), the direct owner of the subject securities. David Sandberg is the managing member of ROP and the Red Oak Founders Fund's portfolio manager.

SEC source: 0001325533-19-000008 · primary_doc.xml · nonDerivative · entry 2

Red Oak Partners, LLC · CIK 0001325533 · Director

Sandberg David · CIK 0001423093 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Long Fund, LP directly

Disclosed balance after: 64,906

F5 · price: These transactions were executed in multiple trades at prices ranging from $8.20 to $8.21. The price reported in Column 4 of Table I reflects the weighted average purchase price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected.

F1 · ownership.nature: 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.

F3 · ownership.nature: ROP serves as the general partner of The Red Oak Long Fund, LP, a Delaware limited partnership (the "Red Oak Long Fund"), the direct owner of the subject securities. David Sandberg is the managing member of ROP and the Red Oak Long Fund's portfolio manager.

SEC source: 0001325533-19-000008 · primary_doc.xml · nonDerivative · entry 1

Red Oak Partners, LLC · CIK 0001325533 · Director

Sandberg David · CIK 0001423093 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Fund, LP directly

Disclosed balance after: 268,064

F5 · price: These transactions were executed in multiple trades at prices ranging from $8.20 to $8.21. The price reported in Column 4 of Table I reflects the weighted average purchase price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected.

F1 · ownership.nature: 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.

F2 · ownership.nature: Red Oak Partners, LLC ("ROP") serves as the general partner of The Red Oak Fund, LP, a Delaware limited partnership (the "Red Oak Fund"), the direct owner of the subject securities. David Sandberg is the managing member of ROP and the Red Oak Fund's portfolio manager.

SEC source: 0001437749-19-024358 · rdgdoc.xml · nonDerivative · entry 1

Sandberg David · CIK 0001423093 · Director · 10% owner

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,060,920

F1 · shares: Represents restricted stock granted pursuant to the issuer's 2019 Incentive Plan, which has a forfeiture schedule if certain time-based service conditions are not met over a 12-month period in 2020.

SEC source: 0001325533-19-000006 · primary_doc.xml · nonDerivative · entry 6

Red Oak Partners, LLC · CIK 0001325533 · Director

Sandberg David · CIK 0001423093 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Institutional Founders Long Fund, LP directly

Disclosed balance after: 167,838

F6 · price: These transactions were executed in multiple trades at prices ranging from $8.510 to $8.635. The price reported in Column 4 of Table I reflects the weighted average purchase price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected.

F1 · ownership.nature: 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.

F4 · ownership.nature: ROP serves as the general partner of The Red Oak Institutional Founders Long Fund, LP, a Delaware limited partnership (the "Red Oak Founders Fund"), the direct owner of the subject securities. David Sandberg is the managing member of ROP and the Red Oak Founders Fund's portfolio manager.

SEC source: 0001325533-19-000006 · primary_doc.xml · nonDerivative · entry 5

Red Oak Partners, LLC · CIK 0001325533 · Director

Sandberg David · CIK 0001423093 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Long Fund, LP directly

Disclosed balance after: 129,654

F6 · price: These transactions were executed in multiple trades at prices ranging from $8.510 to $8.635. The price reported in Column 4 of Table I reflects the weighted average purchase price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected.

F1 · ownership.nature: 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.

F3 · ownership.nature: ROP serves as the general partner of The Red Oak Long Fund, LP, a Delaware limited partnership (the "Red Oak Long Fund"), the direct owner of the subject securities. David Sandberg is the managing member of ROP and the Red Oak Long Fund's portfolio manager.

SEC source: 0001325533-19-000006 · primary_doc.xml · nonDerivative · entry 4

Red Oak Partners, LLC · CIK 0001325533 · Director

Sandberg David · CIK 0001423093 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Fund, LP directly

Disclosed balance after: 535,478

F6 · price: These transactions were executed in multiple trades at prices ranging from $8.510 to $8.635. The price reported in Column 4 of Table I reflects the weighted average purchase price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected.

F1 · ownership.nature: 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.

F2 · ownership.nature: Red Oak Partners, LLC ("ROP") serves as the general partner of The Red Oak Fund, LP, a Delaware limited partnership (the "Red Oak Fund"), the direct owner of the subject securities. David Sandberg is the managing member of ROP and the Red Oak Fund's portfolio manager.

SEC source: 0001325533-19-000006 · primary_doc.xml · nonDerivative · entry 3

Red Oak Partners, LLC · CIK 0001325533 · Director

Sandberg David · CIK 0001423093 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Institutional Founders Long Fund, LP directly

Disclosed balance after: 185,366

F5 · price: These transactions were executed in multiple trades at prices ranging from $8.415 to $8.650. The price reported in Column 4 of Table I reflects the weighted average purchase price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected.

F1 · ownership.nature: 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.

F4 · ownership.nature: ROP serves as the general partner of The Red Oak Institutional Founders Long Fund, LP, a Delaware limited partnership (the "Red Oak Founders Fund"), the direct owner of the subject securities. David Sandberg is the managing member of ROP and the Red Oak Founders Fund's portfolio manager.

SEC source: 0001325533-19-000006 · primary_doc.xml · nonDerivative · entry 2

Red Oak Partners, LLC · CIK 0001325533 · Director

Sandberg David · CIK 0001423093 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Long Fund, LP directly

Disclosed balance after: 143,197

F5 · price: These transactions were executed in multiple trades at prices ranging from $8.415 to $8.650. The price reported in Column 4 of Table I reflects the weighted average purchase price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected.

F1 · ownership.nature: 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.

F3 · ownership.nature: ROP serves as the general partner of The Red Oak Long Fund, LP, a Delaware limited partnership (the "Red Oak Long Fund"), the direct owner of the subject securities. David Sandberg is the managing member of ROP and the Red Oak Long Fund's portfolio manager.

SEC source: 0001325533-19-000006 · primary_doc.xml · nonDerivative · entry 1

Red Oak Partners, LLC · CIK 0001325533 · Director

Sandberg David · CIK 0001423093 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Fund, LP directly

Disclosed balance after: 591,407

F5 · price: These transactions were executed in multiple trades at prices ranging from $8.415 to $8.650. The price reported in Column 4 of Table I reflects the weighted average purchase price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected.

F1 · ownership.nature: 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.

F2 · ownership.nature: Red Oak Partners, LLC ("ROP") serves as the general partner of The Red Oak Fund, LP, a Delaware limited partnership (the "Red Oak Fund"), the direct owner of the subject securities. David Sandberg is the managing member of ROP and the Red Oak Fund's portfolio manager.

SEC source: 0001437749-19-012933 · rdgdoc.xml · derivative · entry 6

Sandberg David · CIK 0001423093 · Director · 10% owner

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Fund, LP directly

Disclosed balance after: 0

Underlying: Common Stock · 52,282 shares

Expires 2019-06-25

F1 · kind: 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.

F2 · ownership.nature: 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.

F5 · ownership.nature: 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.

SEC source: 0001437749-19-012933 · rdgdoc.xml · derivative · entry 5

Sandberg David · CIK 0001423093 · Director · 10% owner

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Long Fund, LP directly

Disclosed balance after: 0

Underlying: Common Stock · 27,879 shares

Expires 2019-06-25

F1 · kind: 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.

F2 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0001437749-19-012933 · rdgdoc.xml · nonDerivative · entry 2

Sandberg David · CIK 0001423093 · Director · 10% owner

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Fund, LP directly

Disclosed balance after: 2,339,595

F1 · kind: 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.

F4 · balance_after: 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.

F2 · ownership.nature: 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.

F5 · ownership.nature: 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.

SEC source: 0001437749-19-012933 · rdgdoc.xml · nonDerivative · entry 1

Sandberg David · CIK 0001423093 · Director · 10% owner

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Long Fund, LP directly

Disclosed balance after: 980,926

F1 · kind: 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.

F2 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0001437749-19-012567 · rdgdoc.xml · derivative · entry 7

Sandberg David · CIK 0001423093 · Director · 10% owner

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 114,547 shares

Expires 2019-06-20

SEC source: 0001437749-19-012567 · rdgdoc.xml · derivative · entry 6

Sandberg David · CIK 0001423093 · Director · 10% owner

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Fund, LP directly (1)(3)

Disclosed balance after: 0

Underlying: Common Stock · 248,620 shares

Expires 2019-06-20

SEC source: 0001437749-19-012567 · rdgdoc.xml · derivative · entry 5

Sandberg David · CIK 0001423093 · Director · 10% owner

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Long Fund, LP directly (1)(2)

Disclosed balance after: 0

Underlying: Common Stock · 134,627 shares

Expires 2019-06-20

SEC source: 0001437749-19-012567 · rdgdoc.xml · nonDerivative · entry 3

Sandberg David · CIK 0001423093 · Director · 10% owner

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Fund, LP directly

Disclosed balance after: 2,287,313

F1 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0001437749-19-012567 · rdgdoc.xml · nonDerivative · entry 2

Sandberg David · CIK 0001423093 · Director · 10% owner

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Long Fund, LP directly

Disclosed balance after: 953,047

F1 · ownership.nature: 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.

F2 · ownership.nature: 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.

SEC source: 0001437749-19-012567 · rdgdoc.xml · nonDerivative · entry 1

Sandberg David · CIK 0001423093 · Director · 10% owner

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,053,838

SEC source: 0001437749-18-022065 · rdgdoc.xml · nonDerivative · entry 1

Sandberg David · CIK 0001423093 · Director · 10% owner

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 939,241

F1 · balance_after: The reported transaction involved the reporting person's receipt of a grant of 5,420 shares of restricted stock units under SMTC Corp's 2010 Incentive Plan. The reporting person has reported prior awards of restricted stock units in Table II of Form 4. The total reported in Column 5 includes the 5,420 newly awarded shares of restricted stock, 12,500 previously reported restricted stock units, and 921,371 shares of common stock.

SEC source: 0001437749-18-016476 · rdgdoc.xml · derivative · entry 7

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Sandberg David · CIK 0001423093 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,313,097 shares

Expires 2018-08-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001437749-18-016476 · rdgdoc.xml · nonDerivative · entry 5

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Sandberg David · CIK 0001423093 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Red Oak Fund LP directly

Disclosed balance after: 1,271,725

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · ownership.nature: 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.

F4 · ownership.nature: 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.

F6 · ownership.nature: These transactions represents 2,313,097 common shares acquired for $2.25 a share via the exercise of basic and oversubscription rights as per the SMTC rights offering for holders of record as at July 23, 2018.

SEC source: 0001437749-18-016476 · rdgdoc.xml · nonDerivative · entry 4

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Sandberg David · CIK 0001423093 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Red Oak Long Fund LP directly

Disclosed balance after: 818,420

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · ownership.nature: 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.

F5 · ownership.nature: 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.

F6 · ownership.nature: These transactions represents 2,313,097 common shares acquired for $2.25 a share via the exercise of basic and oversubscription rights as per the SMTC rights offering for holders of record as at July 23, 2018.

SEC source: 0001437749-18-016476 · rdgdoc.xml · nonDerivative · entry 3

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Sandberg David · CIK 0001423093 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By David Sandberg Directly

Disclosed balance after: 921,371

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · ownership.nature: These transactions represents 2,313,097 common shares acquired for $2.25 a share via the exercise of basic and oversubscription rights as per the SMTC rights offering for holders of record as at July 23, 2018.

SEC source: 0001437749-18-016476 · rdgdoc.xml · nonDerivative · entry 2

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Sandberg David · CIK 0001423093 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Institutional Founders Long Fund LP directly

Disclosed balance after: 1,820,182

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · ownership.nature: 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.

F3 · ownership.nature: 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.

F6 · ownership.nature: These transactions represents 2,313,097 common shares acquired for $2.25 a share via the exercise of basic and oversubscription rights as per the SMTC rights offering for holders of record as at July 23, 2018.

SEC source: 0001437749-17-020808 · rdgdoc.xml · derivative · entry 6

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Sandberg David · CIK 0001423093 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,730

Underlying: Common Stock · 12,500 shares

Expires 2018-12-13

SEC source: 0001437749-17-020808 · rdgdoc.xml · nonDerivative · entry 3

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Sandberg David · CIK 0001423093 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Red Oak Fund LP directly

Disclosed balance after: 1,165,223

F2 · ownership.nature: 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.

F4 · ownership.nature: 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.

F6 · ownership.nature: These transactions were executed in multiple trades at prices ranging from $1.59 to $1.60. The price reported in Column 4 of Table I reflects the weighted average purchase price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected.

SEC source: 0001437749-17-020808 · rdgdoc.xml · nonDerivative · entry 2

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Sandberg David · CIK 0001423093 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Red Oak Long Fund LP directly

Disclosed balance after: 587,626

F2 · ownership.nature: 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.

F5 · ownership.nature: 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.

SEC source: 0001437749-18-010145 · rdgdoc.xml · derivative · entry 6

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Sandberg David · CIK 0001423093 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2018-12-13

SEC source: 0001437749-18-016476 · rdgdoc.xml · derivative · entry 6

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Sandberg David · CIK 0001423093 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2018-12-13

SEC source: 0001325533-17-000030 · primary_doc.xml · nonDerivative · entry 2

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Sandberg David · CIK 0001423093 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Long Fund LP

Disclosed balance after: 575,405

F7 · price: This transaction was executed in multiple trades at prices ranging from $1.57 to $1.59. The price reported in Column 4 of Table I reflects the weighted average transaction price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected.

F2 · ownership.nature: 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.

F5 · ownership.nature: 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.

SEC source: 0001437749-17-020808 · rdgdoc.xml · derivative · entry 7

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Sandberg David · CIK 0001423093 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,230

Underlying: Common Stock · 15,038 shares

Expires 2017-12-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001437749-17-020808 · rdgdoc.xml · nonDerivative · entry 1

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Sandberg David · CIK 0001423093 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By David Sandberg Directly

Disclosed balance after: 678,919

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · ownership.nature: This transaction represents 15,038 of vested restricted stock units converted into common shares on December 12, 2017.

SEC source: 0001325533-17-000030 · primary_doc.xml · nonDerivative · entry 1

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

Sandberg David · CIK 0001423093 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Long Fund LP

Disclosed balance after: 571,467

F6 · price: This transaction was executed in multiple trades at prices ranging from $1.58 to $1.59. The price reported in Column 4 of Table I reflects the weighted average transaction price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected.

F2 · ownership.nature: 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.

F5 · ownership.nature: 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.

SEC source: 0001325533-17-000026 · primary_doc.xml · nonDerivative · entry 4

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pinnacle Opportunities Fund, LP directly

Disclosed balance after: 143,162

F6 · price: This transaction was executed in multiple trades at prices ranging from $7.45 to $7.54. The price reported in Column 4 of Table I reflects the weighted average transaction price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected.

F4 · ownership.nature: 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.

F5 · ownership.nature: 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.

SEC source: 0001325533-17-000026 · primary_doc.xml · nonDerivative · entry 3

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Institutional Founders Long Fund, L.P. directly

Disclosed balance after: 350,198

F6 · price: This transaction was executed in multiple trades at prices ranging from $7.45 to $7.54. The price reported in Column 4 of Table I reflects the weighted average transaction price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected.

F3 · ownership.nature: 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.

F5 · ownership.nature: 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.

SEC source: 0001325533-17-000026 · primary_doc.xml · nonDerivative · entry 2

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Long Fund, L.P. directly

Disclosed balance after: 93,787

F6 · price: This transaction was executed in multiple trades at prices ranging from $7.45 to $7.54. The price reported in Column 4 of Table I reflects the weighted average transaction price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected.

F2 · ownership.nature: 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.

F5 · ownership.nature: 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.

SEC source: 0001325533-17-000026 · primary_doc.xml · nonDerivative · entry 1

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Red Oak Fund, L.P.

Disclosed balance after: 220,540

F6 · price: This transaction was executed in multiple trades at prices ranging from $7.45 to $7.54. The price reported in Column 4 of Table I reflects the weighted average transaction price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected.

F1 · ownership.nature: 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.

F5 · ownership.nature: 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.

SEC source: 0001325533-17-000025 · primary_doc.xml · nonDerivative · entry 8

Red Oak Partners, LLC · CIK 0001325533 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pinnacle Opportunities Fund, LP directly

Disclosed balance after: 149,339

F7 · price: This transaction was executed in multiple trades at prices ranging from $7.45 to $7.62. The price reported in Column 4 of Table I reflects the weighted average transaction price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected.

F4 · ownership.nature: 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.

F5 · ownership.nature: 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.