Form 4 for SMSI SMITH MICRO SOFTWARE, INC.
Accepted 2024-02-23 00:00:00 ET · period of report 2024-02-21 · accession 0001628280-24-006506 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2024-02-23 | 2024-02-22 | SMSI | Kempton James M | VP, CFO, Treas | D - Sale to Iss | $0.00 | -7,291 | 412.8K | -2% | $0 | |
| 2024-02-23 | 2024-02-22 | SMSI | Kempton James M | VP, CFO, Treas | F - Tax | $0.77 | -1,018 | 420.1K | -0.2% | -$783.86 | |
| M | 2024-02-23 | 2024-02-21 | SMSI | Kempton James M | VP, CFO, Treas | A - Grant | $0.00 | +186.4K | 421.1K | +79% | $0 |
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 | 2024-02-22 | D | D | 7,291 | $0.00 | 412,777 | D | — | — | (F4) Shares of restricted stock forfeited in accordance with the terms of grant. |
| 2 | Common | Common Stock | 2024-02-22 | F | D | 1,018 | $0.77 | 420,068 | D | — | — | (F3) Shares withheld, at an average vesting price of $0.77 per share, for the payment of income taxes. |
| 3 | Common | Common Stock | 2024-02-21 | A | A | 100,000 | $0.00 | 334,664 | D | — | — | (F1) Restricted stock subject to time-based and performance-based vesting. 50% of shares vest in equal monthly installments over 48 months, subject to continuing employment. 50% of shares vest subject to satisfaction of 2024 financial performance criteria, with 25% of such amount to vest approximately March 2025 and the remainder in equal monthly installments over the next 36 months. |
| 4 | Common | Common Stock | 2024-02-21 | A | A | 86,422 | $0.00 | 421,086 | D | — | — | (F2) Restricted stock subject to performance-based vesting. Shares will vest in installments subject to satisfaction of performance criteria for the first and second quarters of 2024. |