SEC Form 4 · accession 0001209191-16-107300
SMITH MICRO SOFTWARE, INC. · SMSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
William W Smith Jr.
Officer — President & CEO · Director
Period of report
Mar 7, 2016
Accepted (ET)
Mar 9, 2016 · 4:06 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000948708
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 7, 2016 | A | 300,000 | $0.00 | A | 1,907,581 | D | |
| Common Stock | holding | — | — | — | 1,817,115 | I | The William W. Smith Jr. Revocable Trust | |
| Common StockF2 | holding | — | — | — | 24,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted Stock vests over 48 months. 50% of the shares are based on 2015 performance and vest evenly, monthly over 48 months. 50% are based on 2016 performance with 25% vesting approximately March 2017 and the remainder evenly, monthly, over the next 36 months
- F2Held in the William W. Smith, Jr. IRA