0001437749-25-034141.txt : 20251110 0001437749-25-034141.hdr.sgml : 20251110 20251110182219 ACCESSION NUMBER: 0001437749-25-034141 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20251107 FILED AS OF DATE: 20251110 DATE AS OF CHANGE: 20251110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SMITH WILLIAM W JR CENTRAL INDEX KEY: 0001251368 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35525 FILM NUMBER: 251467744 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] ORGANIZATION NAME: 06 Technology EIN: 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 rdgdoc.xml FORM 4 X0508 4 2025-11-07 0000948708 SMITH MICRO SOFTWARE, INC. SMSI 0001251368 SMITH WILLIAM W JR 5800 CORPORATE DRIVE PITTSBURGH PA 15237 1 1 1 President and CEO 0 Common Stock 2025-11-07 4 A 0 2236136 0.6708 A 5592968 I Smith Living Trust Common Stock 294062 D Common stock purchase warrant 0.6708 2025-11-07 4 A 0 2236136 A Common stock 2236136 2236136 I Smith Living Trust Pursuant to a Securities Purchase Agreement dated November 5, 2025, between Smith Micro Software, Inc. (the "Company") and the Purchaser parties thereto, Smith Living Trust (for which William W. Smith, Jr. serves as co-trustee) agreed to purchase 2,236,136 shares of common stock, together with a warrant to purchase an equal number of shares of common stock, at a purchase price of $0.6708 per share. The purchase was completed and the securities were issued on November 7, 2025. The warrant will become exercisable upon the date that it is approved by the Company's stockholders in accordance with applicable Nasdaq rules (the "Stockholder Approval Date"). Five (5) years after the Stockholder Approval Date. /s/ Jennifer M. Reinke as attorney-in-fact for William W. Smith, Jr. 2025-11-10