0001816079-24-000001.txt : 20240214 0001816079-24-000001.hdr.sgml : 20240214 20240214142015 ACCESSION NUMBER: 0001816079-24-000001 CONFORMED SUBMISSION TYPE: PX14A6G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20240214 DATE AS OF CHANGE: 20240214 EFFECTIVENESS DATE: 20240214 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: PX14A6G SEC ACT: 1934 Act SEC FILE NUMBER: 001-35525 FILM NUMBER: 24636052 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Hammann Jerald CENTRAL INDEX KEY: 0001816079 ORGANIZATION NAME: FILING VALUES: FORM TYPE: PX14A6G MAIL ADDRESS: STREET 1: 1566 SUMTER AVE N CITY: MINNEAPOLIS STATE: MN ZIP: 55427-4048 PX14A6G 1 PX14A6G0000948708_330029027.htm 240.14A-103 NOTICE OF EXEMPT SOLICITATION

Collaborative

Investor Engagement

Concerned shareholder of Smith Micro Software, Inc. urges investor collaboration

240.14a-103 Notice of Exempt Solicitation (Voluntary)

U.S. Securities and Exchange Commission, Washington DC 20549

NAME OF REGISTRANT: Smith Micro Software, Inc.

NAME OF PERSON RELYING ON EXEMPTION: Jerald Hammann

ADDRESS OF PERSON RELYING ON EXEMPTION: 1566 Sumter Ave. N, Minneapolis MN 55427

Written materials are submitted pursuant to Rule 14a-6(g)(1) promulgated under the Securities Exchange Act of 1934.*

*Submission is not required of this filer under the terms of the Rule, but is made voluntarily in the interest of public disclosure.

Concerned shareholder of Smith Micro Software, Inc. urges investor collaboration

Jerald Hammann, a Smith Micro Software, Inc. shareholder, urges shareholders concerned about their investment in Smith Micro to collaborate to increase the effectiveness of their actions.

Individual shareholders often lack the voting power to effect meaningful change at shareholder meetings. However, through collaboration, the opportunity exists for shareholders to discuss their investment objectives and assert a proactive posture in addressing board nominations and corporate governance proposals.

In support of this proactive posture, in a letter to Smith Micro dated February 5, 2024, Jerald Hammann volunteered to join the Board of Directors of Smith Micro Software, Inc.

If you are interested in discussing your investment objectives relative to Smith Micro or in discussing its 2024 annual shareholder meeting, please contact Jerald Hammann at investoradvocacy411@gmail.com or (612) 470-4478.

Disclaimers

This is not a solicitation of authority to vote your proxy. Please DO NOT send the author your proxy card. The author is not able to vote your proxy, nor does this communication contemplate such an event.

This is not an offer to enter into any agreement to act together with any shareholder for the purpose of acquiring, holding, voting, or disposing of equity securities. The author has no present intent to enter into a group pursuant to 17 CFR § 240.13d-5(b)(1).

The views expressed are those of the author as of the date referenced and are subject to change at any time based on market or other conditions. These views are not intended to be a forecast of future events or a guarantee of future results. These views may not be relied upon as investment advice. The information provided in this material should not be considered a recommendation to buy or sell any of the securities mentioned. It should not be assumed that investments in such securities have been or will be profitable. This communication should not be construed as a research report.