0001628280-23-007384.txt : 20230309 0001628280-23-007384.hdr.sgml : 20230309 20230309175023 ACCESSION NUMBER: 0001628280-23-007384 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230307 FILED AS OF DATE: 20230309 DATE AS OF CHANGE: 20230309 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kempton James M CENTRAL INDEX KEY: 0001456883 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35525 FILM NUMBER: 23720907 MAIL ADDRESS: STREET 1: 100 AIRSIDE DR CITY: MOON TOWNSHIP STATE: PA ZIP: 15108 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 wf-form4_167840221254880.xml FORM 4 X0306 4 2023-03-07 0 0000948708 SMITH MICRO SOFTWARE, INC. SMSI 0001456883 Kempton James M 5800 CORPORATE DR. 5TH FLOOR PITTSBURGH PA 15237 0 1 0 0 VP, CFO and Treasurer Common Stock 2023-03-07 4 A 0 100000 0 A 215354 D Common Stock 2023-03-09 4 D 0 5761 0 D 209593 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 2023 financial performance criteria, with 25% of such amount to vest approximately March 2024 and the remainder in equal monthly installments over the next 36 months. Shares of restricted stock forfeited in accordance with the terms of grant /s/Jennifer M. Reinke, attorney-in-fact for James M. Kempton 2023-03-09