Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ACCESS Newswire Inc.ISDR · Entity 7644 | 10% owner | May 31, 2017 | June 02, 2017 |
| ASURE SOFTWARE INCASUR · Entity 734 | Director | May 28, 2020 | June 03, 2020 |
| GEE Group Inc.JOB · Entity 7497 | Director | June 10, 2025 | June 12, 2025 |
| Global Crossing Airlines Group Inc.JETMF · Entity 7307 | Director · 10% owner | August 11, 2026 | September 08, 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.
ACCESS Newswire Inc.
Report date May 31, 2017 · Filed June 02, 2017
Jointly reported with Red Oak Partners, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Pinnacle Opportunities Fund, LP. directly | 122,575 |
Reported balance
After 2017-05-31 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-05-31 · Sale · Disposed 16,791 · Balance 122,575 F5: This transaction was executed in multiple trades all at a price of $13.25. 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: 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. F4: 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. |
| Common StockSEC Table I · non-derivative | IndirectBy The Red Oak Fund, LP directly | 117,548 |
Reported balance
After 2017-05-31 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2017-05-31 · Sale · Disposed 16,100 · Balance 117,548 F5: This transaction was executed in multiple trades all at a price of $13.25. 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: 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. F4: 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. |
| Common StockSEC Table I · non-derivative | IndirectBy The Red Oak Long Fund, LP directly | 51,677 |
Reported balance
After 2017-05-31 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2017-05-31 · Sale · Disposed 7,079 · Balance 51,677 F5: This transaction was executed in multiple trades all at a price of $13.25. 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: 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. F4: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: 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.
F3: 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.
F4: 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: This transaction was executed in multiple trades all at a price of $13.25. 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.
ASURE SOFTWARE INC
Report date May 28, 2020 · Filed June 03, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 29,580 |
Reported balance
After 2020-05-28 transaction · row 3
1 source rowRow 3 · 2020-05-28 · Grant · Acquired 7,165 · Balance 29,580 F1: Represents grant of restricted stock units of which one-third will vest on the first anniversary of the grant date and the remainder will vest over the following two years in equal quarterly installments. |
| Common StockSEC Table I · non-derivative | IndirectBy The Red Oak Fund, LP directly | 253,125 |
Reported balance
Holding disclosure · report date 2020-05-28 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 253,125 |
| Common StockSEC Table I · non-derivative | IndirectBy The Red Oak Long Fund, LP directly | 61,290 |
Reported balance
Holding disclosure · report date 2020-05-28 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 61,290 |
Filing footnotes · ownership attribution and instrument terms
F1: Represents grant of restricted stock units of which one-third will vest on the first anniversary of the grant date and the remainder will vest over the following two years in equal quarterly installments.
GEE Group Inc.
Report date June 10, 2025 · Filed June 12, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.20 · Expires 2035-06-10 | Direct | 50,000 |
Reported balance
After 2025-06-10 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2025-06-10 · Grant · Acquired 50,000 · Balance 50,000 F1: The closing price of the Company's common stock as reported on the NYSE American on June 10, 2025. F2: Options were granted on June10, 2025, and became fully vested on that date. |
Filing footnotes · ownership attribution and instrument terms
F1: The closing price of the Company's common stock as reported on the NYSE American on June 10, 2025.
F2: Options were granted on June10, 2025, and became fully vested on that date.
Global Crossing Airlines Group Inc.
Report date August 11, 2026 · Filed September 08, 2026
Jointly reported with Red Oak Partners, LLC, Red Oak Fund, LP, Red Oak Long Fund, LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy The Red Oak Fund, LP directly | 6,060,759 |
Reported balance
Holding disclosure · report date 2026-08-11 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 6,060,759 F1: 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: 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. |
| Common StockSEC Table I · non-derivative | IndirectBy The Red Oak Long Fund, LP directly | 3,166,888 |
Reported balance
Holding disclosure · report date 2026-08-11 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 3,166,888 F2: 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: 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. |
| Class A Non-Voting Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectBy The Red Oak Fund, LP directly | 2,924,645 |
Reported balance
Holding disclosure · report date 2026-08-11 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 2,924,645 F4: Immediately exercisable and do not expire. F1: 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: 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. |
| Class A Non-Voting Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectBy The Red Oak Long Fund, LP directly | 1,510,688 |
Reported balance
Holding disclosure · report date 2026-08-11 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 1,510,688 F4: Immediately exercisable and do not expire. F2: 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: 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. |
| Class B Non-Voting Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectBy The Red Oak Fund, LP directly | 10,868 |
Reported balance
Holding disclosure · report date 2026-08-11 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 10,868 F4: Immediately exercisable and do not expire. F1: 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: 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. |
| Class B Non-Voting Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectBy The Red Oak Long Fund, LP directly | 5,632 |
Reported balance
Holding disclosure · report date 2026-08-11 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 5,632 F4: Immediately exercisable and do not expire. F2: 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: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: 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: 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: Immediately exercisable and do not expire.
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
Jointly reported with Red Oak Partners, LLC
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
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-04-05 · Disposition to issuer · Disposed 1,060,920 · 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. |
| Common StockSEC Table I · non-derivative | IndirectBy The Red Oak Long Fund, LP directly | 0 |
Reported balance
After 2021-04-05 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-04-05 · Disposition to issuer · Disposed 980,926 · 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. F2: 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: 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. |
| Common StockSEC Table I · non-derivative | IndirectBy The Red Oak Fund, LP directly | 0 |
Reported balance
After 2021-04-05 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2021-04-05 · Disposition to issuer · Disposed 2,339,595 · 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. F4: 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: 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. |
| Common StockSEC Table I · non-derivative | IndirectBy The Red Oak Institutional Founders Long Fund, LP directly | 0 |
Reported balance
After 2021-04-05 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2021-04-05 · Disposition to issuer · Disposed 1,820,182 · 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. F2: 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: 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. |
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: 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: 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.
F4: 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: 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.
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 |
|---|---|---|---|---|---|---|
| September 25, 2017 Filed Sep 27, 2017 10:30 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 300 | $1.30 | $390.00 |
DisclosureSEC source: 0001437749-17-016386 · 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 Fund LP directly Disclosed balance after: 1,141,879 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. F7 · ownership.nature: This transaction was executed in multiple trades all at a price of 1.30. 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. Read SEC document |
| September 22, 2017 Filed Sep 27, 2017 10:30 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 6,509 | $1.29 | $8,383.59 |
DisclosureSEC source: 0001437749-17-016386 · 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 Long Fund LP directly Disclosed balance after: 547,488 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: This transaction was executed in multiple trades at prices ranging from $1.28 to $1.29. 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. Read SEC document |
| September 22, 2017 Filed Sep 27, 2017 10:30 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 13,572 | $1.29 | $17,480.74 |
DisclosureSEC source: 0001437749-17-016386 · 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 Fund LP directly Disclosed balance after: 1,141,579 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: This transaction was executed in multiple trades at prices ranging from $1.28 to $1.29. 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. Read SEC document |
| September 22, 2017 Filed Sep 27, 2017 10:30 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 9,119 | $1.29 | $11,745.27 |
DisclosureSEC source: 0001437749-17-016386 · 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 Pinnacle Opportunities Fund, LP directly Disclosed balance after: 766,968 F1 · 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. 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. F6 · ownership.nature: This transaction was executed in multiple trades at prices ranging from $1.28 to $1.29. 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. Read SEC document |
| September 21, 2017 Filed Sep 22, 2017 17:00 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 2,474 | $1.30 | $3,203.83 |
DisclosureSEC source: 0001437749-17-016277 · rdgdoc.xml · nonDerivative · 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: Indirect · By the Red Oak Long Fund LP directly Disclosed balance after: 540,979 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 were executed in multiple trades at prices ranging from $1.28 to $1.30. 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. Read SEC document |
| September 21, 2017 Filed Sep 22, 2017 17:00 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 5,159 | $1.30 | $6,680.91 |
DisclosureSEC source: 0001437749-17-016277 · 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 Fund LP directly Disclosed balance after: 1,128,007 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 $1.28 to $1.30. 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. Read SEC document |
| September 21, 2017 Filed Sep 22, 2017 17:00 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 3,467 | $1.30 | $4,489.77 |
DisclosureSEC source: 0001437749-17-016277 · 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 Pinnacle Opportunities Fund, LP directly Disclosed balance after: 757,849 F1 · 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. 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. F6 · ownership.nature: These transactions were executed in multiple trades at prices ranging from $1.28 to $1.30. 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. Read SEC document |
| September 20, 2017 Filed Sep 22, 2017 17:00 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 14,826 | $1.29 | $19,155.19 |
DisclosureSEC source: 0001437749-17-016277 · 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 Long Fund LP directly Disclosed balance after: 538,505 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 were executed in multiple trades at prices ranging from $1.28 to $1.30. 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. Read SEC document |
| September 20, 2017 Filed Sep 22, 2017 17:00 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 34,378 | $1.29 | $44,416.38 |
DisclosureSEC source: 0001437749-17-016277 · 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: 1,122,848 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 $1.28 to $1.30. 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. Read SEC document |
| September 20, 2017 Filed Sep 22, 2017 17:00 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 64,396 | $1.29 | $83,199.63 |
DisclosureSEC source: 0001437749-17-016277 · 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 Pinnacle Opportunities Fund, LP directly Disclosed balance after: 754,382 F1 · 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. 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. F6 · ownership.nature: These transactions were executed in multiple trades at prices ranging from $1.28 to $1.30. 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. Read SEC document |
| September 15, 2017 Filed Sep 18, 2017 17:00 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 36,047 | $1.29 | $46,500.63 |
DisclosureSEC source: 0001437749-17-016019 · 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 Pinnacle Opportunities Fund, LP directly Disclosed balance after: 689,986 F1 · 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. 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. F6 · ownership.nature: This transaction was executed in multiple trades all at a price of 1.29. 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. Read SEC document |
| September 14, 2017 Filed Sep 18, 2017 17:00 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 28,095 | $1.29 | $36,242.55 |
DisclosureSEC source: 0001437749-17-016019 · 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 Pinnacle Opportunities Fund, LP directly Disclosed balance after: 653,939 F1 · 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. 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. F6 · ownership.nature: This transaction was executed in multiple trades all at a price of 1.29. 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. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 16:30 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 200 | $1.30 | $260.00 |
DisclosureSEC source: 0001437749-17-012238 · 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 Pinnacle Opportunities Fund, LP directly Disclosed balance after: 625,844 F1 · 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. 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. Read SEC document |
| June 29, 2017 Filed Jun 30, 2017 16:30 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 1,250 | $1.30 | $1,622.50 |
DisclosureSEC source: 0001437749-17-012090 · 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 Pinnacle Opportunities Fund, LP directly Disclosed balance after: 625,644 F1 · 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. 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: This transaction was executed in multiple trades at prices ranging from $1.29 to $1.30. 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. Read SEC document |
| June 28, 2017 Filed Jun 30, 2017 16:30 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 30,200 | $1.29 | $39,078.80 |
DisclosureSEC source: 0001437749-17-012090 · 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 Pinnacle Opportunities Fund, LP directly Disclosed balance after: 624,394 F1 · 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. 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: This transaction was executed in multiple trades at prices ranging from $1.28 to $1.30. 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. Read SEC document |
| June 19, 2017 Filed Jun 21, 2017 08:01 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 7,200 | $1.30 | $9,352.80 |
DisclosureSEC source: 0001437749-17-011567 · 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 Pinnacle Opportunities Fund, LP directly Disclosed balance after: 582,594 F1 · 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. 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: This transaction was executed in multiple trades at prices ranging from $1.29 to $1.30. 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. Read SEC document |
| June 19, 2017 Filed Jun 28, 2017 20:33 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 5,500 | $1.30 | $7,144.50 |
DisclosureSEC source: 0001437749-17-011948 · 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 Pinnacle Opportunities Fund, LP directly Disclosed balance after: 594,194 F1 · 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. 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: This transaction was executed in multiple trades at prices ranging from $1.29 to $1.30. 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. Read SEC document |
| June 16, 2017 Filed Jun 21, 2017 08:01 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 506 | $1.29 | $653.75 |
DisclosureSEC source: 0001437749-17-011567 · 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 Pinnacle Opportunities Fund, LP directly Disclosed balance after: 575,394 F1 · 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. 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: This transaction was executed in multiple trades at prices ranging from $1.28 to $1.30. 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. Read SEC document |
| June 16, 2017 Filed Jun 28, 2017 20:33 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 6,100 | $1.29 | $7,893.40 |
DisclosureSEC source: 0001437749-17-011948 · 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 Pinnacle Opportunities Fund, LP directly Disclosed balance after: 588,694 F1 · 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. 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: This transaction was executed in multiple trades at prices ranging from $1.285 to $1.30. 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. Read SEC document |
| June 14, 2017 Filed Jun 15, 2017 16:53 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 9,500 | $1.28 | $12,160.00 |
DisclosureSEC source: 0001437749-17-011347 · 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 Pinnacle Opportunities Fund, LP directly Disclosed balance after: 574,888 F1 · 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. 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: This transaction was executed in multiple trades all at a price of $1.28. 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. Read SEC document |
| June 13, 2017 Filed Jun 15, 2017 16:53 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 500 | $1.29 | $647.00 |
DisclosureSEC source: 0001437749-17-011347 · 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 Pinnacle Opportunities Fund, LP directly Disclosed balance after: 565,388 F1 · 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. 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: This transaction was executed in multiple trades at prices ranging from $1.29 to $1.30. 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. Read SEC document |
| June 12, 2017 Filed Jun 13, 2017 16:51 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 12,100 | $1.29 | $15,596.90 |
DisclosureSEC source: 0001437749-17-011211 · 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 Pinnacle Opportunities Fund, LP directly Disclosed balance after: 564,888 F1 · 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. 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: This transaction was executed in multiple trades at prices ranging from $1.27 to $1.295. 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. Read SEC document |
| June 09, 2017 Filed Jun 13, 2017 16:51 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 1,650 | $1.29 | $2,135.10 |
DisclosureSEC source: 0001437749-17-011211 · 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 Pinnacle Opportunities Fund, LP directly Disclosed balance after: 552,788 F1 · 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. 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: This transaction was executed in multiple trades at prices ranging from $1.29 to $1.295. 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. Read SEC document |
| June 08, 2017 Filed Jun 9, 2017 18:53 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCOMMON STOCK | 4,152 | $1.29 | $5,360.23 |
DisclosureSEC source: 0001437749-17-011101 · 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 Pinnacle Opportunities Fund, LP directly Disclosed balance after: 551,138 F1 · 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. 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: This transaction was executed in multiple trades at prices ranging from $1.29 to $1.30. 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. Read SEC document |
| June 07, 2017 Filed Jun 9, 2017 18:53 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCOMMON STOCK | 17,000 | $1.27 | $21,607.00 |
DisclosureSEC source: 0001437749-17-011101 · 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 Pinnacle Opportunities Fund, LP directly Disclosed balance after: 546,986 F1 · 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. 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: This transaction was executed in multiple trades at prices ranging from $1.26 to $1.29. 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. Read SEC document |
| June 02, 2017 Filed Jun 5, 2017 20:24 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCOMMON STOCK | 2,500 | $1.25 | $3,125.00 |
DisclosureSEC source: 0001437749-17-010682 · 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 Pinnacle Opportunities Fund, LP directly Disclosed balance after: 521,771 F2 · 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. F4 · 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. F6 · ownership.nature: This transaction was executed in multiple trades all at a price of $1.25. 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. Read SEC document |
| June 01, 2017 Filed Jun 5, 2017 20:24 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCOMMON STOCK | 300 | $1.25 | $375.00 |
DisclosureSEC source: 0001437749-17-010682 · 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 Pinnacle Opportunities Fund, LP directly Disclosed balance after: 519,271 F2 · 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. F4 · 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. F6 · ownership.nature: This transaction was executed in multiple trades all at a price of $1.25. 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. Read SEC document |
| May 31, 2017 Filed Jun 1, 2017 16:57 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 12,163 | $1.25 | $15,203.75 |
DisclosureSEC source: 0001437749-17-010479 · 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 Pinnacle Opportunities Fund, LP directly Disclosed balance after: 518,971 F2 · 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. F4 · 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. F6 · ownership.nature: These transactions were executed in multiple trades at prices ranging from $1.23 to $1.25. 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. Read SEC document |
| May 31, 2017 Filed Jun 2, 2017 22:17 UTC | ACCESS Newswire Inc. ISDR · Entity 7644 | SaleCommon Stock | 7,079 | $13.25 | $93,796.75 |
DisclosureSEC source: 0001325533-17-000021 · primary_doc.xml · nonDerivative · entry 3 Red Oak Partners, LLC · CIK 0001325533 · 10% owner Sandberg David · CIK 0001423093 · 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: 51,677 F5 · price: This transaction was executed in multiple trades all at a price of $13.25. 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 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. F4 · 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. Read SEC document |
| May 31, 2017 Filed Jun 2, 2017 22:17 UTC | ACCESS Newswire Inc. ISDR · Entity 7644 | SaleCommon Stock | 16,100 | $13.25 | $213,325.00 |
DisclosureSEC source: 0001325533-17-000021 · primary_doc.xml · nonDerivative · entry 2 Red Oak Partners, LLC · CIK 0001325533 · 10% owner Sandberg David · CIK 0001423093 · 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: 117,548 F5 · price: This transaction was executed in multiple trades all at a price of $13.25. 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. F4 · 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. Read SEC document |
| May 31, 2017 Filed Jun 2, 2017 22:17 UTC | ACCESS Newswire Inc. ISDR · Entity 7644 | SaleCommon Stock | 16,791 | $13.25 | $222,480.75 |
DisclosureSEC source: 0001325533-17-000021 · primary_doc.xml · nonDerivative · entry 1 Red Oak Partners, LLC · CIK 0001325533 · 10% owner Sandberg David · CIK 0001423093 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Pinnacle Opportunities Fund, LP. directly Disclosed balance after: 122,575 F5 · price: This transaction was executed in multiple trades all at a price of $13.25. 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 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. F4 · 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. Read SEC document |
| May 30, 2017 Filed Jun 1, 2017 16:57 UTC | SMTC CORP SMTX · Entity 140438 | PurchaseCommon Stock | 5,500 | $1.25 | $6,869.50 |
DisclosureSEC source: 0001437749-17-010479 · 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 Pinnacle Opportunities Fund, LP directly Disclosed balance after: 506,808 F2 · 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. F4 · 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. F6 · ownership.nature: These transactions were executed in multiple trades at prices ranging from $1.23 to $1.25. 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. Read SEC document |
| April 28, 2017 Filed May 2, 2017 21:35 UTC | ACCESS Newswire Inc. ISDR · Entity 7644 | SaleCommon Stock | 15,220 | $11.55 | $175,791.00 |
DisclosureSEC source: 0001325533-17-000019 · primary_doc.xml · nonDerivative · entry 3 Red Oak Partners, LLC · CIK 0001325533 · 10% owner Sandberg David · CIK 0001423093 · 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: 58,756 F3 · 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. F4 · 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. Read SEC document |
| April 28, 2017 Filed May 2, 2017 21:35 UTC | ACCESS Newswire Inc. ISDR · Entity 7644 | SaleCommon Stock | 34,621 | $11.55 | $399,872.55 |
DisclosureSEC source: 0001325533-17-000019 · primary_doc.xml · nonDerivative · entry 2 Red Oak Partners, LLC · CIK 0001325533 · 10% owner Sandberg David · CIK 0001423093 · 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: 133,648 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. F4 · 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. Read SEC document |
| April 28, 2017 Filed May 2, 2017 21:35 UTC | ACCESS Newswire Inc. ISDR · Entity 7644 | SaleCommon Stock | 36,101 | $11.55 | $416,966.55 |
DisclosureSEC source: 0001325533-17-000019 · primary_doc.xml · nonDerivative · entry 1 Red Oak Partners, LLC · CIK 0001325533 · 10% owner Sandberg David · CIK 0001423093 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Pinnacle Opportunities Fund, LP. directly Disclosed balance after: 139,366 F2 · 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. F4 · 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. Read SEC document |
| April 11, 2017 Filed Apr 13, 2017 01:19 UTC | ACCESS Newswire Inc. isdr · Entity 7644 | SaleCommon Stock | 11,088 | $11.50 | $127,545.26 |
DisclosureSEC source: 0001325533-17-000015 · primary_doc.xml · nonDerivative · entry 6 Red Oak Partners, LLC · CIK 0001325533 · 10% owner Sandberg David · CIK 0001423093 · 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: 73,976 F6 · price: This transaction was executed in multiple trades at prices ranging from $11.50 to $11.60. 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. F3 · 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. F4 · 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. Read SEC document |
| April 11, 2017 Filed Apr 13, 2017 01:19 UTC | ACCESS Newswire Inc. isdr · Entity 7644 | SaleCommon Stock | 25,235 | $11.50 | $290,278.21 |
DisclosureSEC source: 0001325533-17-000015 · primary_doc.xml · nonDerivative · entry 5 Red Oak Partners, LLC · CIK 0001325533 · 10% owner Sandberg David · CIK 0001423093 · 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: 168,269 F6 · price: This transaction was executed in multiple trades at prices ranging from $11.50 to $11.60. 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. 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. F4 · 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. Read SEC document |
| April 11, 2017 Filed Apr 13, 2017 01:19 UTC | ACCESS Newswire Inc. isdr · Entity 7644 | SaleCommon Stock | 26,100 | $11.50 | $300,228.30 |
DisclosureSEC source: 0001325533-17-000015 · primary_doc.xml · nonDerivative · entry 4 Red Oak Partners, LLC · CIK 0001325533 · 10% owner Sandberg David · CIK 0001423093 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Pinnacle Opportunities Fund, LP. directly Disclosed balance after: 175,467 F6 · price: This transaction was executed in multiple trades at prices ranging from $11.50 to $11.60. 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. F2 · 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. F4 · 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. Read SEC document |
| April 10, 2017 Filed Apr 13, 2017 01:19 UTC | ACCESS Newswire Inc. isdr · Entity 7644 | SaleCommon Stock | 806 | $11.57 | $9,323.81 |
DisclosureSEC source: 0001325533-17-000015 · primary_doc.xml · nonDerivative · entry 3 Red Oak Partners, LLC · CIK 0001325533 · 10% owner Sandberg David · CIK 0001423093 · 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: 85,064 F5 · price: This transaction was executed in multiple trades at prices ranging from $11.50 to $11.675. 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. F3 · 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. F4 · 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. Read SEC document |
| April 10, 2017 Filed Apr 13, 2017 01:19 UTC | ACCESS Newswire Inc. isdr · Entity 7644 | SaleCommon Stock | 1,833 | $11.57 | $21,204.14 |
DisclosureSEC source: 0001325533-17-000015 · primary_doc.xml · nonDerivative · entry 2 Red Oak Partners, LLC · CIK 0001325533 · 10% owner Sandberg David · CIK 0001423093 · 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: 193,504 F5 · price: This transaction was executed in multiple trades at prices ranging from $11.50 to $11.675. 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: 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. F4 · 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. Read SEC document |
| April 10, 2017 Filed Apr 13, 2017 01:19 UTC | ACCESS Newswire Inc. isdr · Entity 7644 | SaleCommon Stock | 1,911 | $11.57 | $22,106.45 |
DisclosureSEC source: 0001325533-17-000015 · primary_doc.xml · nonDerivative · entry 1 Red Oak Partners, LLC · CIK 0001325533 · 10% owner Sandberg David · CIK 0001423093 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Pinnacle Opportunities Fund, LP. directly Disclosed balance after: 201,567 F5 · price: This transaction was executed in multiple trades at prices ranging from $11.50 to $11.675. 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. F2 · 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. F4 · 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. Read SEC document |
| April 05, 2017 Filed Apr 7, 2017 21:56 UTC | ACCESS Newswire Inc. ISDR · Entity 7644 | SaleCommon Stock | 784 | $11.81 | $9,257.47 |
DisclosureSEC source: 0001325533-17-000013 · primary_doc.xml · nonDerivative · entry 3 Red Oak Partners, LLC · CIK 0001325533 · 10% owner Sandberg David · CIK 0001423093 · 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: 85,870 F5 · price: This transaction was executed in multiple trades at prices ranging from $11.75 to $11.85. 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. F3 · 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. F4 · 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. Read SEC document |
| April 05, 2017 Filed Apr 7, 2017 21:56 UTC | ACCESS Newswire Inc. ISDR · Entity 7644 | SaleCommon Stock | 1,782 | $11.81 | $21,041.86 |
DisclosureSEC source: 0001325533-17-000013 · primary_doc.xml · nonDerivative · entry 2 Red Oak Partners, LLC · CIK 0001325533 · 10% owner Sandberg David · CIK 0001423093 · 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: 195,337 F5 · price: This transaction was executed in multiple trades at prices ranging from $11.75 to $11.85. 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: 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. F4 · 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. Read SEC document |
| April 05, 2017 Filed Apr 7, 2017 21:56 UTC | ACCESS Newswire Inc. ISDR · Entity 7644 | SaleCommon Stock | 1,859 | $11.81 | $21,951.07 |
DisclosureSEC source: 0001325533-17-000013 · primary_doc.xml · nonDerivative · entry 1 Red Oak Partners, LLC · CIK 0001325533 · 10% owner Sandberg David · CIK 0001423093 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Pinnacle Opportunities Fund, LP. directly Disclosed balance after: 203,478 F5 · price: This transaction was executed in multiple trades at prices ranging from $11.75 to $11.85. 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. F2 · 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. F4 · 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. Read SEC document |
| April 04, 2017 Filed Apr 5, 2017 22:41 UTC | ACCESS Newswire Inc. ISDR · Entity 7644 | SaleCommon Stock | 2,540 | $11.66 | $29,613.86 |
DisclosureSEC source: 0001325533-17-000012 · primary_doc.xml · nonDerivative · entry 4 Red Oak Partners, LLC · CIK 0001325533 · 10% owner Sandberg David · CIK 0001423093 · 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: 86,654 F6 · price: This transaction was executed in multiple trades at prices ranging from $11.55 to $11.75. 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. F3 · 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. F4 · 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. Read SEC document |
| April 04, 2017 Filed Apr 5, 2017 22:41 UTC | ACCESS Newswire Inc. ISDR · Entity 7644 | SaleCommon Stock | 5,777 | $11.66 | $67,354.04 |
DisclosureSEC source: 0001325533-17-000012 · primary_doc.xml · nonDerivative · entry 3 Red Oak Partners, LLC · CIK 0001325533 · 10% owner Sandberg David · CIK 0001423093 · 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: 197,119 F6 · price: This transaction was executed in multiple trades at prices ranging from $11.55 to $11.75. 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: 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. F4 · 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. Read SEC document |
| April 04, 2017 Filed Apr 5, 2017 22:41 UTC | ACCESS Newswire Inc. ISDR · Entity 7644 | SaleCommon Stock | 6,025 | $11.66 | $70,245.48 |
DisclosureSEC source: 0001325533-17-000012 · primary_doc.xml · nonDerivative · entry 2 Red Oak Partners, LLC · CIK 0001325533 · 10% owner Sandberg David · CIK 0001423093 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Pinnacle Opportunities Fund, LP. directly Disclosed balance after: 205,337 F6 · price: This transaction was executed in multiple trades at prices ranging from $11.55 to $11.75. 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. F2 · 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. F4 · 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. Read SEC document |
| April 03, 2017 Filed Apr 5, 2017 22:41 UTC | ACCESS Newswire Inc. ISDR · Entity 7644 | SaleCommon Stock | 200 | $11.51 | $2,302.60 |
DisclosureSEC source: 0001325533-17-000012 · primary_doc.xml · nonDerivative · entry 1 Red Oak Partners, LLC · CIK 0001325533 · 10% owner Sandberg David · CIK 0001423093 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Pinnacle Opportunities Fund, LP. directly Disclosed balance after: 211,362 F5 · price: This transaction was executed in multiple trades at prices ranging from $11.50 to $11.525. 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. F2 · 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. F4 · 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. Read SEC document |
| March 30, 2017 Filed Apr 3, 2017 23:45 UTC | ACCESS Newswire Inc. ISDR · Entity 7644 | SaleCommon Stock | 220 | $10.55 | $2,321.00 |
DisclosureSEC source: 0001325533-17-000011 · primary_doc.xml · nonDerivative · entry 3 Red Oak Partners, LLC · CIK 0001325533 · 10% owner Sandberg David · CIK 0001423093 · 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: 89,194 F5 · price: This transaction was executed in multiple trades at prices ranging from $10.50 to $10.60. 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. F3 · 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. F4 · 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. Read SEC document |
| March 30, 2017 Filed Apr 3, 2017 23:45 UTC | ACCESS Newswire Inc. ISDR · Entity 7644 | SaleCommon Stock | 495 | $10.55 | $5,222.25 |
DisclosureSEC source: 0001325533-17-000011 · primary_doc.xml · nonDerivative · entry 2 Red Oak Partners, LLC · CIK 0001325533 · 10% owner Sandberg David · CIK 0001423093 · 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: 202,896 F5 · price: This transaction was executed in multiple trades at prices ranging from $10.50 to $10.60. 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. 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. F4 · 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. 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.