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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 | ||||||||
Employee Stock Option to Purchase Exchangeable Shares | $ 1.27 (1) (2) | 03/15/2005 | A | 200,000 | (3) | 03/15/2015 | Exchangeable Shares of SMTC Canada (4) | 200,000 | $ 0 | 403,000 | 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) | Per share. |
(2) | The exercise price of the options is CDN$1.53 per share (the value in the table has been converted to United States dollars using an exchange rate of CDN$1.2069 per US$1.00). |
(3) | One-quarter of the options vest on March 15, 2006, and one-quarter of the options vest on March 15, 2007. Beginning on March 15, 2007, the remaining one-half of the options vest in eight equal quarterly installments (the first of which vest on June 15, 2007), such that all of the options will be fully vested on March 15, 2009. |
(4) | 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. |