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Home > Insider Trading > Filing (0001209191-21-054614)

Filing Details

Accession Number:: 0001209191-21-054614
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-09-03 06:02:18
Reporting Period:: 2021-08-31

Accepted Time:: 2021-09-03 06:02:18
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
948708	Smith Micro Software Inc.	SMSI	Services-Prepackaged Software (7372)	330029027

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1251368	Jr W William Smith	120 Vantis Suite 350 Aliso Viejo CA 92656	President & Ceo	Yes	Yes	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2021-08-31	537,000	$4.65	3,942,451	No	4	S	Direct
Common Stock	Acquisiton	2021-09-02	850,000	$2.38	4,792,451	No	4	M	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Direct
No	4	M	Direct

Reported Derivative Transactions

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrant to Purchase Common Stock	Disposition	2021-09-02	850,000	$0.00	850,000	$2.38

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2016-09-06	2021-09-06	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	455,028	Indirect	The William W. Smith, Jr. Revocable Trust
Common Stock	6,000	Direct

Footnotes

Held in the William W. Smith, Jr. IRA