WATERFIELD JOHN RANDALL exercised options at SMTC CORP
Option exercise — a mechanical event triggered by vesting or expiry. Not a discretionary conviction trade.
M · 1 exercise
Filed: 8/31/2018ACC: 0001437749-18-016464
+606.97K
Net shares
Net buyer
$646.0K
Total acquired
0
Open market trades
0B · 0S
4
Total transactions
606.97K acquired
Non-Derivative Transactions1
Common Stock
Direct
Shares
+287.12K
Price / share
$2.25
Trade value
$646.02K
% of position
53.2%
8/28/2018
539.24K→826.36K
Total
Net shares
+287.12K
Net value
$646.02K
| Security | Date | Type | Shares | Price / Share | Trade Value | % of Position | Held Before | Held After |
|---|---|---|---|---|---|---|---|---|
| Common Stock Direct | 8/28/2018 | M · Option Exercise | +287.12K | $2.25 | $646.02K | 53.2% | 539.24K | 826.36K |
| Total | +287.12K | $646.02K | ||||||
Derivative Transactions3
Stock Options
Direct
Converts to
Common Stock
20.23K shares
Shares
+20.23K
Strike price
1.80
Held after
20.23K
Exercisable
—
12/11/2014
Restricted Stock Unit
Direct
Converts to
Common Stock
12.50K shares
Shares
+12.50K
Strike price
1.60
Held after
12.50K
Exercisable
—
12/13/2017
Subscription Rights (right to buy)
Direct
Converts to
Common Stock
287.12K shares
Shares
+287.12K
Strike price
2.25
Held after
0.00
Exercisable
—
8/28/2018
| Security | Converts To | Date | Type | Shares | Strike Price | Exercisable | Held After |
|---|---|---|---|---|---|---|---|
| Stock Options Direct | Common Stock20.23K shares | 12/11/2014 | A · Award | +20.23K | 1.80 | — | 20.23K |
| Restricted Stock Unit Direct | Common Stock12.50K shares | 12/13/2017 | A · Award | +12.50K | 1.60 | — | 12.50K |
| Subscription Rights (right to buy) Direct | Common Stock287.12K shares | 8/28/2018 | M · Option Exercise | +287.12K | 2.25 | — | 0.00 |