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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrant to Purchase Exchangeable Shares | $ 7.64 (1) (2) | 03/21/2005 | P | 140,000 | (7) | 03/03/2009 | Exchangeable Shares of SMTC Canada (3) | 28,000 | $ 0.53 (4) (5) | 543,000 (6) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CALDWELL JOHN E 635 HOOD ROAD MARKHAM, A6 L3R 4N6 |
X | Chief Executive Officer |
/s/ John E. Caldwell | 04/18/2005 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Exercise price per Exchangeable Share, with each warrant being exercisable for one-fifth of one Exchangeable Share of SMTC Manufacturing Corporation of Canada. |
(2) | The exercise price of each warrant is CDN$9.25 per one Exchangeable Share, with each warrant being exercisable for one-fifth of one Exchangeable Share (the value in the table has been converted to United States dollars using an exchange rate of CDN$1.2105 per US$1.00). |
(3) | Subject to applicable legal requirements, the Exchangeable Shares of SMTC Manufacturing Corporation of Canada are exchangeable on a one-for-one basis for shares of Common Stock of SMTC at the option of the holder. |
(4) | Per warrant. |
(5) | The purchase price of each warrant was CDN$0.637 (the value in the table has been converted to United States dollars using an exchange rate of CDN$1.2105 per US$1.00). |
(6) | Total includes 203,000 options to purchase Common Stock of SMTC, 200,000 Options to purchase Exchangeable Shares of SMTC Manufacturing Corporation of Canada and 140,000 warrants to purchase Exchangeable Shares of SMTC Manufacturing Corporation of Canada. |
(7) | Each warrant is currently exercisable as of the date of the event requiring this statement. |