SEC Form 4 · accession 0001209191-18-038280
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
Jun 15, 2018
Accepted (ET)
Jun 18, 2018 · 4:13 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 Stock | Jun 15, 2018 | C | 379,825 | $1.14 | A | 4,095,500 | D | |
| Common Stock | holding | — | — | — | 455,028 | I | The William W. Smith Jr. Revocable Trust | |
| Common StockF1 | holding | — | — | — | 6,000 | D |
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 StockF2,F3 | $1.14 | Jun 15, 2018 | C | 433 | D | Sep 29, 2017 | — | Common Stock | 379,825 | 0 | D |
Explanation of responses
- F1Held in the William W. Smith, Jr. IRA
- F2The 10% Series B Convertible Preferred Stock is convertible into Smith Micro Software, Inc. common stock at a price per share of $1.14.
- F3The 10% Series B Convertible Preferred Stock has no expiration date.