Form 4 for SMSI SMITH MICRO SOFTWARE, INC.
Accepted 2025-11-10 00:00:00 ET · period of report 2025-11-07 · accession 0001437749-25-034141 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2025-11-10 | 2025-11-07 | SMSI | SMITH WILLIAM W JR | Pres, CEO, Dir, 10% | A - Grant | $0.67 | +2.24M | 5.59M | +67% | +$1.50M |
| DI | 2025-11-10 | 2025-11-07 | SMSI | SMITH WILLIAM W JR | Pres, CEO, Dir, 10% | A - Grant | — | +2.24M | 2.24M | New | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2025-11-07 | A | A | 2,236,136 | $0.67 | 5,592,968 | I Smith Living Trust | — | — | (F1) Pursuant to a Securities Purchase Agreement dated November 5, 2025, between Smith Micro Software, Inc. (the "Company") and the Purchaser parties thereto, Smith Living Trust (for which William W. Smith, Jr. serves as co-trustee) agreed to purchase 2,236,136 shares of common stock, together with a warrant to purchase an equal number of shares of common stock, at a purchase price of $0.6708 per share. The purchase was completed and the securities were issued on November 7, 2025. |
| 2 | Derivative | Common stock purchase warrant | 2025-11-07 | A | A | 2,236,136 | — | 2,236,136 | I Smith Living Trust | $0.67 · — to — | 2,236,136 Common stock | (F1) Pursuant to a Securities Purchase Agreement dated November 5, 2025, between Smith Micro Software, Inc. (the "Company") and the Purchaser parties thereto, Smith Living Trust (for which William W. Smith, Jr. serves as co-trustee) agreed to purchase 2,236,136 shares of common stock, together with a warrant to purchase an equal number of shares of common stock, at a purchase price of $0.6708 per share. The purchase was completed and the securities were issued on November 7, 2025. (F2) The warrant will become exercisable upon the date that it is approved by the Company's stockholders in accordance with applicable Nasdaq rules (the "Stockholder Approval Date"). (F3) Five (5) years after the Stockholder Approval Date. |