SEC Form 4 · accession 0001209191-17-055136
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 · 10% Owner
Period of report
Sep 29, 2017
Accepted (ET)
Oct 3, 2017 · 4:31 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 10% Series B Convertible Preferred StockF1,F2 | $1.14 | Sep 29, 2017 | A | 4,080 | A | Sep 29, 2017 | — | Common Stock | 3,578,947 | 4,080 | D |
Explanation of responses
- F1The 10% Series B Convertible Preferred Stock is convertible into Smith Micro Software, Inc. common stock at a price per share of $1.14.
- F2The 10% Series B Convertible Preferred Stock has no expiration date.