SEC Form 4 · accession 0001209191-17-025521
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
Mar 9, 2017
Accepted (ET)
Apr 5, 2017 · 2:01 pm EDT
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 9, 2017 | D | 4,854 | $0.00 | D | 429,430 | D | |
| Common StockF2 | Apr 4, 2017 | F | 9,478 | $1.30 | D | 419,952 | D | |
| Common Stock | holding | — | — | — | 455,028 | I | The William W. Smith Jr. Revocable Trust | |
| Common StockF3 | holding | — | — | — | 6,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares represent a portion of a performance-based restricted stock award that were forfeited upon reporting of the company's fiscal 2016 financial results.
- F2Shares withheld, at an average vesting price of $1.30 per share, for payment of income taxes
- F3Held in the William W. Smith, Jr. IRA