0001628280-24-042171.txt : 20241003 0001628280-24-042171.hdr.sgml : 20241003 20241003164537 ACCESSION NUMBER: 0001628280-24-042171 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20241001 FILED AS OF DATE: 20241003 DATE AS OF CHANGE: 20241003 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: 241352118 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 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 wk-form4_1727988331.xml FORM 4 X0508 4 2024-10-01 0 0000948708 SMITH MICRO SOFTWARE, INC. SMSI 0001251368 SMITH WILLIAM W JR 120 VANTIS SUITE 350 ALISO VIEJO CA 92656 1 1 0 0 President & CEO 0 Common Stock 2024-10-01 4 A 0 2575107 1.165 A 3201599 I Smith Living Trust Common Stock 133436 D Common Stock Purchase Warrant 1.04 2024-10-02 4 A 0 2575107 A 2025-04-02 2030-04-02 Common Stock 2575107 2575107 I Smith Living Trust Pursuant to a Securities Purchase Agreement dated October 1, 2024, 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 2,575,107 shares of common stock, together with a warrant to purchase an equal number of shares of common stock, at a purchase price of $1.165 per share. The purchase was completed and the securities were issued on October 2, 2024. The warrant is exercisable beginning six (6) months following its original issuance; provided, that it will not be exercisable to the extent the exercise thereof would cause the holder's ownership of the Company's common stock to exceed 19.99%, unless and until such time as the Company has received stockholder approval in accordance with Nasdaq Listing Rule 5635(b). /s/Jennifer M. Reinke, attorney-in-fact for William W. Smith, Jr. 2024-10-03