1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Employee Stock Option to Purchase Common Stock
|
Â
(3)
|
07/26/2012 |
Common Stock, $0.01 par value
|
35,000
(4)
|
$
8
(5)
(6)
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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) |
The Company effected a one-for-five reverse split of its Common Stock on October 4, 2004. Following the reverse stock split, the Reporting Person is the beneficial owner of 400 shares of the Company's Common Stock. |
(2) |
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. Following the reverse stock split, the Reporting Person is the beneficial owner of 16,414 Exchangeable Shares. |
(3) |
One-quarter of the options vested on July 26, 2003, and one-quarter of the options vested on July 26, 2004. Beginning on July 26, 2004, the remaining one-half of the options vest in eight equal quarterly installments (the first of which vested on October 26, 2004), such that all of the options will be fully vested on July 26,2006. |
(4) |
Following the reverse stock split, the options can be exercised for 7,000 shares of Common Stock. |
(5) |
Per share. |
(6) |
Following the reverse stock split, the options have an exercise price of $40.00 per share. |