SMITH MICRO SOFTWARE, INC. — Director's Dealing 2017

Feb 14, 2017

SEC Form 5 — Annual Statement of Changes in Beneficial Ownership

Issuer: SMITH MICRO SOFTWARE INC (SMSI)
CIK: 0000948708
Period of Report: 2016-12-31

Reporting Person: SMITH WILLIAM W JR (Director, President & CEO)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2016-09-06	Warrant to Purchase Common Stock	$2.74	A	850000	Acquired	2021-09-06	Common Stock (850000)	Direct
2016-09-06	Conversion Right	$2.3825	A	251836	Acquired	2019-09-06	Common Stock (251836)	Direct

Footnotes

F1: Shares issuable upon exercise of warrants issued on September 6, 2016 at an exercise price of $2.74 per share in connection with purchase by reporting person of senior subordinated promissory notes in the aggregate principal amount of $2,000,000 (the "Notes").

F2: Shares issuable upon optional conversion of interest payable under Notes on a quarterly basis during the term of the Notes at $2.3825 per share