0001209191-18-019731.txt : 20180314 0001209191-18-019731.hdr.sgml : 20180314 20180314203540 ACCESSION NUMBER: 0001209191-18-019731 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180312 FILED AS OF DATE: 20180314 DATE AS OF CHANGE: 20180314 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: 18690823 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: 51 COLUMBIA CITY: ALISO VIEJO STATE: CA ZIP: 92656 BUSINESS PHONE: 9493625800 MAIL ADDRESS: STREET 1: 51 COLUMBIA CITY: ALISO VIEJO STATE: CA ZIP: 92656 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-03-12 0 0000948708 SMITH MICRO SOFTWARE INC SMSI 0001251368 SMITH WILLIAM W JR 51 COLUMBIA ALISO VIEJO CA 92656 1 1 1 0 President & CEO Common Stock 2018-03-12 4 A 0 125000 0.00 A 523191 D Common Stock 455028 I The William W. Smith, Jr. Revocable Trust Common Stock 6000 D 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 2018 financial performance criteria, with 25% of such amount to vest approximately March 2019 and the remainder in equal monthly installments over the next 36 months. Held in the William W. Smith, Jr. IRA /s/ Debra A. Koehler, Attorney in Fact for William W. Smith, Jr. 2018-03-14