SEC Form 5 · accession 0001209191-17-010406
SMITH MICRO SOFTWARE, INC. · SMSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William W Smith Jr.
Officer — President & CEO · Director
Period of report
Dec 31, 2016
Accepted (ET)
Feb 14, 2017 · 3:03 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000948708
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to Purchase Common StockF1 | $2.74 | Sep 6, 2016 | A | 850,000 | A | Sep 6, 2016 | Sep 6, 2021 | Common Stock | 850,000 | 850,000 | D |
| Conversion RightF2 | $2.3825 | Sep 6, 2016 | A | 251,836 | A | Sep 6, 2016 | Sep 6, 2019 | Common Stock | 251,836 | 251,836 | D |
Explanation of responses
- F1Shares issuable upon exercise of warrants issued on September 6, 2016 at an exercise price of $2.74 per share in connection with purchase by reporting person of senior subordinated promissory notes in the aggregate principal amount of $2,000,000 (the "Notes").
- F2Shares issuable upon optional conversion of interest payable under Notes on a quarterly basis during the term of the Notes at $2.3825 per share