0001437749-26-007572.txt : 20260310 0001437749-26-007572.hdr.sgml : 20260310 20260310174045 ACCESSION NUMBER: 0001437749-26-007572 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20260310 FILED AS OF DATE: 20260310 DATE AS OF CHANGE: 20260310 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: 26740716 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 2026-03-10 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 purchase warrant 0.68 2026-03-10 4 A 0 8818254 A 2026-09-10 2031-09-10 Common stock 8818254 8818254 I Smith Living Trust Secured convertible note 0.68 2026-03-10 4 A 0 4585491.93 A 2026-09-10 2029-03-31 Common stock 6743371 4585491.93 I Smith Living Trust Pursuant to a Securities Purchase Agreement, dated March 4, 2026, between Smith Micro Software, Inc. and the Buyer parties thereto, Smith Living Trust agreed to purchase a secured convertible note together with a warrant for an aggregate purchase price of $4,585,491.93. The purchase was completed and the securities were issued on March 10, 2026. Original principal amount of the secured convertible note (in dollars). Assumes conversion of the full original principal amount of the secured convertible note into shares of common stock. /s/ Jennifer M. Reinke as attorney-in-fact for William W. Smith, Jr. 2026-03-10