0001209191-22-017690.txt : 20220309 0001209191-22-017690.hdr.sgml : 20220309 20220309183501 ACCESSION NUMBER: 0001209191-22-017690 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220225 FILED AS OF DATE: 20220309 DATE AS OF CHANGE: 20220309 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SMITH WILLIAM W JR CENTRAL INDEX KEY: 0001251368 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35525 FILM NUMBER: 22726769 MAIL ADDRESS: STREET 1: 51 COLUMBIA CITY: ALISOVIEJO STATE: CA ZIP: 92656 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SMITH MICRO SOFTWARE, INC. CENTRAL INDEX KEY: 0000948708 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 330029027 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5800 CORPORATE DRIVE CITY: PITTSBURGH STATE: PA ZIP: 15237 BUSINESS PHONE: 4128375300 MAIL ADDRESS: STREET 1: 5800 CORPORATE DRIVE CITY: PITTSBURGH STATE: PA ZIP: 15237 FORMER COMPANY: FORMER CONFORMED NAME: SMITH MICRO SOFTWARE, INC DATE OF NAME CHANGE: 20181023 FORMER COMPANY: FORMER CONFORMED NAME: SMITH MICRO SOFTWARE INC DATE OF NAME CHANGE: 19950731 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2022-02-25 0 0000948708 SMITH MICRO SOFTWARE, INC. SMSI 0001251368 SMITH WILLIAM W JR 120 VANTIS SUITE 350 ALISO VIEJO CA 92656 1 1 1 0 President & CEO Common Stock 2022-02-25 5 G 0 E 4324897 0.00 D 321038 D Common Stock 2022-03-07 4 A 0 175000 0.00 A 496038 D Common Stock 2022-02-25 5 G 0 E 4324897 0.00 A 4779925 I Smith Living Trust Common Stock 6000 D On February 25, 2022, Mr. Smith made a gift of 4,324,897 shares to the Smith Living Trust. It was determined through routine review that previously reported total securities directly held by the reporting person were undercounted by 15 shares, not attributable to any specific, known transaction. This amount reflects the reporting person's total direct holdings as of the date indicated, inclusive of such 15 shares. Restricted stock subject to time-based and performance-based vesting. 50% of shares vest in equal monthly installments over 48 months, subject to continuing employment. 50% of shares vest subject to satisfaction of 2022 financial performance criteria, with 25% of such amount to vest approximately March 2023 and the remainder in equal monthly installments over the next 36 months. Includes 455,028 shares formerly held in the William W. Smith, Jr. Revocable Trust, which were transferred to the Smith Living Trust on February 23, 2022. Held in the William W. Smith, Jr. IRA /s/Jennifer M. Reinke, attorney-in-fact for William W. Smith, Jr. 2022-03-09