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SMITH MICRO SOFTWARE, INC. — Director's Dealing 2013
Feb 13, 2013
35070_dirs_2013-02-13_a74fc116-595f-445c-8dd8-87741752bf9d.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SMITH MICRO SOFTWARE INC (SMSI)
CIK: 0000948708
Period of Report: 2013-02-11
Reporting Person: Carpenter Rick (SVP - Engineering)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-02-11 | Common Stock | A | 150000 | $0.00 | Acquired | 353263 | Direct |
| 2013-02-13 | Common Stock | D | 8450 | $0.00 | Disposed | 344813 | Direct |
| 2013-02-13 | Common Stock | D | 273 | $1.4333 | Disposed | 344540 | Direct |
Footnotes
F1: Restricted Stock vests over 48 months. 50% of the shares are based on 2012 performance and vest evenly, monthly over 48 months. 50% are based on 2013 performance with 25% vesting approximately March 2014 and the remainder evenly, monthly, over the next 36 months.
F2: The shares represent a portion of a performance-based restricted stock award that were forfeited upon reporting of the company's fiscal 2012 financial results
F3: Shares withheld, at an average vesting price of $1.4333 per share, for payment of income taxes.