Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Aqua Metals, Inc.AQMS · Entity 7979 | Director | July 01, 2024 | July 03, 2024 |
| DATA I/O CORPDAIO · Entity 1469 | Director | July 08, 2026 | July 10, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Aqua Metals, Inc.
Report date July 01, 2024 · Filed July 03, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 357,546 |
Reported balance
After 2024-07-01 transaction · row 1
1 source rowRow 1 · 2024-07-01 · Grant · Acquired 23,496 · Balance 357,546 |
DATA I/O CORP
Report date July 08, 2026 · Filed July 10, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 79,375 |
Reported balance
After 2026-07-08 transaction · row 1
1 source rowRow 1 · 2026-07-08 · Grant · Acquired 16,260 · Balance 79,375 F1: RSU grant, vests over the earlier of 1 year or the next Annual Meeting of Shareholders. F2: FMV price is the average of high low for the day. |
Filing footnotes · ownership attribution and instrument terms
F1: RSU grant, vests over the earlier of 1 year or the next Annual Meeting of Shareholders.
F2: FMV price is the average of high low for the day.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
SMTC CORP
Report date April 05, 2021 · Filed April 06, 2021
Section 16 reporting ended · disclosed 2021-04-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-04-05 transaction · row 1
1 source rowRow 1 · 2021-04-05 · Disposition to issuer · Disposed 461,228 · Balance 0 F1: 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.23 · Expires 2027-05-15 | Direct | 0 |
Reported balance
After 2021-04-05 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-04-05 · Disposition to issuer · Disposed 490,358 · Balance 0 F2: Disposed of pursuant to the Merger Agreement, pursuant to which, at the effective time of the merger, the option was cancelled in exchange for the right to receive $6.044 per share in cash, without interest, less the per share exercise price. F3: This option, which originally provided for vesting based upon achievement of stock price hurdles, became fully vested in connection with the merger. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.67 · Expires 2029-05-13 | Direct | 0 |
Reported balance
After 2021-04-05 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-04-05 · Disposition to issuer · Disposed 250,000 · Balance 0 F2: Disposed of pursuant to the Merger Agreement, pursuant to which, at the effective time of the merger, the option was cancelled in exchange for the right to receive $6.044 per share in cash, without interest, less the per share exercise price. F3: This option, which originally provided for vesting based upon achievement of stock price hurdles, became fully vested in connection with the merger. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: Disposed of pursuant to the Merger Agreement, pursuant to which, at the effective time of the merger, the option was cancelled in exchange for the right to receive $6.044 per share in cash, without interest, less the per share exercise price.
F3: This option, which originally provided for vesting based upon achievement of stock price hurdles, became fully vested in connection with the merger.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 08, 2026 Filed Jul 10, 2026 22:21 UTC | DATA I/O CORP DAIO · Entity 1469 | GrantCommon Stock | 16,260 | $3.56 | $57,804.30 |
DisclosureSEC source: 0000351998-26-000012 · section16.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 79,375 F1 · shares: RSU grant, vests over the earlier of 1 year or the next Annual Meeting of Shareholders. F2 · price: FMV price is the average of high low for the day. Read SEC document |
| May 15, 2025 Filed May 19, 2025 18:40 UTC | DATA I/O CORP DAIO · Entity 1469 | GrantCommon Stock | 20,300 | $2.48 | $50,344.00 |
DisclosureSEC source: 0001654954-25-005872 · section16.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 63,115 F1 · shares: RSU grant, vests over the earlier of 1 year or the next Annual Meeting of Shareholders. F2 · price: FMV price is the average of high low for the day. Read SEC document |
| May 07, 2025 Filed May 8, 2025 19:00 UTC | DATA I/O CORP DAIO · Entity 1469 | PurchaseCommon Stock | 5,000 | $2.46 | $12,300.00 |
DisclosureSEC source: 0001654954-25-005281 · section16.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 42,815 Read SEC document |
| July 01, 2024 Filed Jul 3, 2024 17:54 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Stock | 23,496 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-24-022202 · rdgdoc.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 357,546 Read SEC document |
| May 16, 2024 Filed May 16, 2024 22:21 UTC | DATA I/O CORP DAIO · Entity 1469 | GrantCommon Stock | 14,100 | $2.93 | $41,313.00 |
DisclosureSEC source: 0001654954-24-006556 · section16.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 37,815 F1 · shares: RSU grant, vests over the earlier of 1 year or the next Annual Meeting of Shareholders. F2 · price: FMV price is the average of high low for the day. Read SEC document |
| May 14, 2024 Filed May 16, 2024 20:21 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | PurchaseNon-Redeemable Common Stock Purchase Warrant · Derivative | 25,000 | $0.01 Strike: $0.39 | $250.00 |
DisclosureSEC source: 0001437749-24-017373 · rdgdoc.xml · derivative · entry 2 SMITH EDWARD J · CIK 0001216591 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2029-05-17 Read SEC document |
| May 14, 2024 Filed May 16, 2024 20:21 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | PurchaseCommon Stock | 25,000 | $0.39 | $9,750.00 |
DisclosureSEC source: 0001437749-24-017373 · rdgdoc.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 334,050 Read SEC document |
| July 19, 2023 Filed Jul 20, 2023 16:34 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | PurchaseCommon Stock | 90,500 | $1.10 | $99,550.00 |
DisclosureSEC source: 0001437749-23-020343 · rdgdoc.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 309,050 F1 · balance_after: Includes 45,455 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| May 18, 2023 Filed May 22, 2023 19:18 UTC | DATA I/O CORP DAIO · Entity 1469 | Grantcommon stock | 10,400 | $4.45 | $46,280.00 |
DisclosureSEC source: 0001654954-23-007021 · section16.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,715 F1 · shares: RSU grant, vests over the earlier of 1 year or the next Annual Meeting of Shareholders. F2 · price: FMV price is the average of high low for the day. Read SEC document |
| May 09, 2023 Filed May 11, 2023 16:02 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Stock | 45,455 | $1.10 | $50,000.50 |
DisclosureSEC source: 0001437749-23-013917 · rdgdoc.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 218,550 F1 · shares: Represents 45,455 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in four equal quarterly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer. Read SEC document |
| December 14, 2022 Filed Dec 16, 2022 16:30 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | PurchaseCommon Stock | 100,000 | $0.64 | $64,000.00 |
DisclosureSEC source: 0001437749-22-029268 · rdgdoc.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,095 F1 · balance_after: Includes 26,042 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| May 19, 2022 Filed May 20, 2022 21:57 UTC | DATA I/O CORP DAIO · Entity 1469 | Grantcommon stock | 10,800 | $3.09 | $33,372.00 |
DisclosureSEC source: 0001654954-22-007331 · section16.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,315 F1 · shares: RSU grant, vests over the earlier of 1 year or the next Annual Meeting of Shareholders. F2 · price: FMV price is the average of high low for the day. Read SEC document |
| May 02, 2022 Filed May 4, 2022 16:03 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Shares | 52,084 | $0.96 | $50,000.64 |
DisclosureSEC source: 0001437749-22-010852 · rdgdoc.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,095 F1 · shares: Represents 52,084 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in four equal quarterly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer. Read SEC document |
| February 23, 2022 Filed Feb 25, 2022 17:06 UTC | DATA I/O CORP DAIO · Entity 1469 | Grantcommon stock | 2,515 | $4.69 | $11,782.78 |
DisclosureSEC source: 0001654954-22-002062 · section16.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,515 F1 · shares: RSU grant, vests over the earlier of 1 year or the next Annual Meeting of Shareholders. F2 · price: FMV price is the average of high low for the day. Read SEC document |
| May 03, 2021 Filed May 5, 2021 16:40 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantRestricted Stock Units · Derivative | 17,422 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-21-010920 · rdgdoc.xml · derivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,011 Underlying: Common Shares · 17,422 shares Expires not disclosed F1 · shares: Represents 17,422 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in twelve equal monthly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer. F1 · derivative.exercise_date: Represents 17,422 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in twelve equal monthly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer. F1 · derivative.expiration_date: Represents 17,422 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in twelve equal monthly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer. F2 · balance_after: Includes 21,011 RSUs. Read SEC document |
| April 05, 2021 Filed Apr 6, 2021 17:00 UTC | SMTC CORP SMTX · Entity 140438 | Disposition to issuerStock Option (right to buy) · Derivative | 250,000 | $2.37 Strike: $3.67 | $592,500.00 |
DisclosureSEC source: 0001209191-21-025685 · doc4.xml · derivative · entry 3 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 250,000 shares Expires 2029-05-13 F2 · kind: Disposed of pursuant to the Merger Agreement, pursuant to which, at the effective time of the merger, the option was cancelled in exchange for the right to receive $6.044 per share in cash, without interest, less the per share exercise price. F2 · price: Disposed of pursuant to the Merger Agreement, pursuant to which, at the effective time of the merger, the option was cancelled in exchange for the right to receive $6.044 per share in cash, without interest, less the per share exercise price. F3 · derivative.exercise_date: This option, which originally provided for vesting based upon achievement of stock price hurdles, became fully vested in connection with the merger. Read SEC document |
| April 05, 2021 Filed Apr 6, 2021 17:00 UTC | SMTC CORP SMTX · Entity 140438 | Disposition to issuerStock Option (right to buy) · Derivative | 490,358 | $4.81 Strike: $1.23 | $2,358,621.98 |
DisclosureSEC source: 0001209191-21-025685 · doc4.xml · derivative · entry 2 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 490,358 shares Expires 2027-05-15 F2 · kind: Disposed of pursuant to the Merger Agreement, pursuant to which, at the effective time of the merger, the option was cancelled in exchange for the right to receive $6.044 per share in cash, without interest, less the per share exercise price. F2 · price: Disposed of pursuant to the Merger Agreement, pursuant to which, at the effective time of the merger, the option was cancelled in exchange for the right to receive $6.044 per share in cash, without interest, less the per share exercise price. F3 · derivative.exercise_date: This option, which originally provided for vesting based upon achievement of stock price hurdles, became fully vested in connection with the merger. Read SEC document |
| April 05, 2021 Filed Apr 6, 2021 17:00 UTC | SMTC CORP SMTX · Entity 140438 | Disposition to issuerCommon Stock | 461,228 | $6.04 | $2,787,662.03 |
DisclosureSEC source: 0001209191-21-025685 · doc4.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 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. Read SEC document |
| April 01, 2021 Filed Apr 5, 2021 17:47 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantRestricted Stock Units · Derivative | 3,589 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-21-008265 · rdgdoc.xml · derivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,589 Underlying: Common Shares · 3,589 shares Expires not disclosed F1 · shares: Represents 3,589 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on June 30, 2021. F1 · derivative.exercise_date: Represents 3,589 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on June 30, 2021. F1 · derivative.expiration_date: Represents 3,589 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on June 30, 2021. Read SEC document |
| December 31, 2020 Filed Jan 5, 2021 17:37 UTC | SMTC CORP SMTX · Entity 140438 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 181,500 | $0.00 Strike: $1.23 | $0.00 |
DisclosureSEC source: 0001209191-21-001374 · doc4.xml · derivative · entry 3 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 490,358 Underlying: COMMON STOCK · 181,500 shares Expires 2027-05-15 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 · derivative.exercise_date: 60% of the total stock option granted vested after the average closing share price of SMTC Corporation's common stock on the NASDAQ Stock Market was above each of $2.00, $3.00 and $4.00 per share for a 90-day period and the remainder vests when the average close price is above each of $5.00 and 6.00 per share for a 90-day period. Read SEC document |
| December 31, 2020 Filed Jan 5, 2021 17:37 UTC | SMTC CORP SMTX · Entity 140438 | Tax withholdingCOMMON STOCK | 81,929 | $4.96 | $406,367.84 |
DisclosureSEC source: 0001209191-21-001374 · doc4.xml · nonDerivative · entry 2 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 461,228 F1 · shares: Represents a "net exercise" of a stock option pursuant to which shares were withheld in payment of the applicable exercise price and tax withholding, using the closing stock price on December 31, 2020 of $4.96. Read SEC document |
| December 31, 2020 Filed Jan 5, 2021 17:37 UTC | SMTC CORP SMTX · Entity 140438 | Exercise / conversionCOMMON STOCK | 181,500 | $1.23 | $223,245.00 |
DisclosureSEC source: 0001209191-21-001374 · doc4.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 543,157 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. F1 · shares: Represents a "net exercise" of a stock option pursuant to which shares were withheld in payment of the applicable exercise price and tax withholding, using the closing stock price on December 31, 2020 of $4.96. Read SEC document |
| November 15, 2019 Filed Nov 18, 2019 21:02 UTC Amendment | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 5,000 | $2.69 | $13,445.00 |
DisclosureSEC source: 0001437749-19-023153 · rdgdoc.xml · nonDerivative · entry 2 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 361,657 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.66 to $2.70, inclusive. Read SEC document |
| November 15, 2019 Filed Nov 18, 2019 15:33 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 100 | $2.68 | $268.00 |
DisclosureSEC source: 0001437749-19-023117 · rdgdoc.xml · nonDerivative · entry 4 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 361,657 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions for an average price of $2.68. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price. Read SEC document |
| November 15, 2019 Filed Nov 18, 2019 15:33 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 4,900 | $2.70 | $13,230.00 |
DisclosureSEC source: 0001437749-19-023117 · rdgdoc.xml · nonDerivative · entry 3 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 361,557 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions for an average price of $2.70. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price. Read SEC document |
| November 14, 2019 Filed Nov 18, 2019 21:02 UTC Amendment | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 14,515 | $2.67 | $38,798.60 |
DisclosureSEC source: 0001437749-19-023153 · rdgdoc.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 356,657 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.63 to $2.69, inclusive. The reporting person undertakes to provide to the issuer, any shareholder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnotes 1 and 2. Read SEC document |
| November 14, 2019 Filed Nov 18, 2019 15:33 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 9,505 | $2.67 | $25,378.35 |
DisclosureSEC source: 0001437749-19-023117 · rdgdoc.xml · nonDerivative · entry 2 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 356,657 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions for an average price of $2.67. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price. Read SEC document |
| November 14, 2019 Filed Nov 18, 2019 15:33 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 5,010 | $2.68 | $13,426.80 |
DisclosureSEC source: 0001437749-19-023117 · rdgdoc.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 347,152 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions for an average price of $2.68. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price. Read SEC document |
| August 14, 2019 Filed Aug 15, 2019 16:44 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 10,000 | $3.37 | $33,747.00 |
DisclosureSEC source: 0001437749-19-016940 · rdgdoc.xml · nonDerivative · entry 4 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 342,142 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.27 to $3.48. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price. Read SEC document |
| August 14, 2019 Filed Aug 16, 2019 13:05 UTC Amendment | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 10,000 | $3.37 | $33,747.00 |
DisclosureSEC source: 0001437749-19-016993 · rdgdoc.xml · nonDerivative · entry 4 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 342,142 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.27 to $3.48. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price. F1 · acquired: The original Form 4, filed on August 15, 2019, is being amended by this Form 4 amendment solely to correct an administrative error, whereby the incorrect classification of "D" was utilized for the two purchase transactions that occurred on August 13, 2019 and August 14, 2019. This has been corrected to reflect the proper classification of "A" for both purchases in this amended Form 4. Read SEC document |
| August 13, 2019 Filed Aug 15, 2019 16:44 UTC | SMTC CORP SMTX · Entity 140438 | Tax withholdingCommon Stock | 6,763 | $3.49 | $23,602.87 |
DisclosureSEC source: 0001437749-19-016940 · rdgdoc.xml · nonDerivative · entry 3 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 332,142 F2 · price: Withheld shares to pay taxes applicable to the issuance of shares upon the vesting of Restricted Stock Units. Read SEC document |
| August 13, 2019 Filed Aug 15, 2019 16:44 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 10,000 | $3.37 | $33,721.00 |
DisclosureSEC source: 0001437749-19-016940 · rdgdoc.xml · nonDerivative · entry 2 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 338,905 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.285 to $3.43. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price. Read SEC document |
| August 13, 2019 Filed Aug 15, 2019 16:44 UTC | SMTC CORP SMTX · Entity 140438 | GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-016940 · rdgdoc.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 328,905 Read SEC document |
| August 13, 2019 Filed Aug 16, 2019 13:05 UTC Amendment | SMTC CORP SMTX · Entity 140438 | Tax withholdingCommon Stock | 6,763 | $3.49 | $23,602.87 |
DisclosureSEC source: 0001437749-19-016993 · rdgdoc.xml · nonDerivative · entry 3 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 332,142 F3 · price: Withheld shares to pay taxes applicable to the issuance of shares upon the vesting of Restricted Stock Units. Read SEC document |
| August 13, 2019 Filed Aug 16, 2019 13:05 UTC Amendment | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 10,000 | $3.37 | $33,721.00 |
DisclosureSEC source: 0001437749-19-016993 · rdgdoc.xml · nonDerivative · entry 2 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 338,905 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.285 to $3.43. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price. F1 · acquired: The original Form 4, filed on August 15, 2019, is being amended by this Form 4 amendment solely to correct an administrative error, whereby the incorrect classification of "D" was utilized for the two purchase transactions that occurred on August 13, 2019 and August 14, 2019. This has been corrected to reflect the proper classification of "A" for both purchases in this amended Form 4. Read SEC document |
| August 13, 2019 Filed Aug 16, 2019 13:05 UTC Amendment | SMTC CORP SMTX · Entity 140438 | GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-016993 · rdgdoc.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 328,905 Read SEC document |
| June 20, 2019 Filed Jun 24, 2019 17:01 UTC | SMTC CORP SMTX · Entity 140438 | OtherSubscription Rights (right to buy) · Derivative | 34,477 | $0.00 Strike: $3.14 | $0.00 |
DisclosureSEC source: 0001437749-19-012565 · rdgdoc.xml · derivative · entry 2 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 34,477 shares Expires 2019-06-20 Read SEC document |
| June 20, 2019 Filed Jun 24, 2019 17:01 UTC | SMTC CORP SMTX · Entity 140438 | OtherCommon Stock | 34,477 | $3.14 | $108,257.78 |
DisclosureSEC source: 0001437749-19-012565 · rdgdoc.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 303,905 Read SEC document |
| May 13, 2019 Filed May 15, 2019 14:46 UTC | SMTC CORP SMTX · Entity 140438 | GrantEmployee Stock Option (right to buy) · Derivative | 250,000 | $0.00 Strike: $3.67 | $0.00 |
DisclosureSEC source: 0001437749-19-010021 · rdgdoc.xml · derivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires 2029-05-13 F1 · derivative.exercise_date: The stock option vests and becomes exercisable as to 1/3 of the total number of shares subject to the stock option upon the average closing share price of SMTC Corporation common stock being above each of $7.00, $8.00 and 9.00 per share for a 90-day trading period, subject to continued employment by the holder with SMTC Corporation during such period. Read SEC document |
| November 13, 2018 Filed Nov 14, 2018 13:47 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 10,000 | $4.05 | $40,500.00 |
DisclosureSEC source: 0001437749-18-020738 · rdgdoc.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 269,428 Read SEC document |
| August 28, 2018 Filed Aug 31, 2018 12:20 UTC | SMTC CORP SMTX · Entity 140438 | Exercise / conversionSubscription Rights (right to buy) · Derivative | 95,728 | $0.00 Strike: $2.25 | $0.00 |
DisclosureSEC source: 0001437749-18-016459 · rdgdoc.xml · derivative · entry 3 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 95,728 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. Read SEC document |
| August 28, 2018 Filed Aug 31, 2018 12:20 UTC | SMTC CORP SMTX · Entity 140438 | Exercise / conversionCommon Stock | 95,728 | $2.25 | $215,388.00 |
DisclosureSEC source: 0001437749-18-016459 · rdgdoc.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 259,428 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 · kind: Transaction represents 95,728 common shares acquired via the rights offering for a purchase price of $2.25 a share. F2 · price: Transaction represents 95,728 common shares acquired via the rights offering for a purchase price of $2.25 a share. Read SEC document |
| February 20, 2018 Filed Feb 21, 2018 10:38 UTC | SMTC CORP SMTX · Entity 140438 | Exercise / conversionRestricted Stock Units · Derivative | 68,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-002937 · rdgdoc.xml · derivative · entry 2 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 671,858 Underlying: Common Stock · 68,000 shares Expires not disclosed 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 · derivative.exercise_price: Each restricted stock unit converts into shares of SMTC Corporation's common stock on a one-for-one basis. F3 · derivative.exercise_date: The restricted stock units vest upon the earlier to occur of: (i) the first anniversary of the grant date for the restricted stock units, which would be February 17, 2018, provided that Mr. Smith still providing services as President and Chief Executive of SMTC Corporation on such vesting date or (ii) a Covered Transaction (as defined in the SMTC 2010 Incentive Plan, as amended). F3 · derivative.expiration_date: The restricted stock units vest upon the earlier to occur of: (i) the first anniversary of the grant date for the restricted stock units, which would be February 17, 2018, provided that Mr. Smith still providing services as President and Chief Executive of SMTC Corporation on such vesting date or (ii) a Covered Transaction (as defined in the SMTC 2010 Incentive Plan, as amended). Read SEC document |
| February 20, 2018 Filed Feb 21, 2018 10:38 UTC | SMTC CORP SMTX · Entity 140438 | Exercise / conversionCommon Stock | 68,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-18-002937 · rdgdoc.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,700 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. F1 · kind: This transaction represents the settlement of a restricted stock unit award granted on February 17, 2017 into shares of SMTC Corporation's common stock on its scheduled vesting date, and does not represent an open market purchase transaction. F2 · price: Each restricted stock unit converts into shares of SMTC Corporation's common stock on a one-for-one basis. Read SEC document |
| December 06, 2017 Filed Dec 8, 2017 19:30 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Shares | 9,000 | $1.67 | $15,026.40 |
DisclosureSEC source: 0001437749-17-020461 · rdgdoc.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,700 Read SEC document |
| November 07, 2017 Filed Nov 8, 2017 12:32 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Shares | 25,000 | $1.64 | $41,097.50 |
DisclosureSEC source: 0001437749-17-018635 · rdgdoc.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,700 Read SEC document |
| August 09, 2017 Filed Aug 9, 2017 18:19 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Shares | 13,300 | $1.30 | $17,243.45 |
DisclosureSEC source: 0001437749-17-014310 · rdgdoc.xml · nonDerivative · entry 2 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Read SEC document |
| August 08, 2017 Filed Aug 9, 2017 18:19 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Shares | 11,700 | $1.26 | $14,713.92 |
DisclosureSEC source: 0001437749-17-014310 · rdgdoc.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,700 Read SEC document |
| June 14, 2017 Filed Jun 15, 2017 16:52 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Shares | 12,295 | $1.31 | $16,154.40 |
DisclosureSEC source: 0001437749-17-011346 · rdgdoc.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Read SEC document |
| June 07, 2017 Filed Jun 8, 2017 15:58 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Shares | 1,500 | $1.27 | $1,897.95 |
DisclosureSEC source: 0001437749-17-010951 · rdgdoc.xml · nonDerivative · entry 1 SMITH EDWARD J · CIK 0001216591 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,705 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.