SMITH MICRO SOFTWARE, INC. — Director's Dealing 2020

Aug 12, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: SMITH MICRO SOFTWARE, INC. (SMSI)
CIK: 0000948708
Period of Report: 2020-08-10

Reporting Person: Arno Andrew (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-08-10	Common Stock	A	10000	$3.946	Acquired	212610	Direct
2020-08-10	Common Stock	A	10000	$3.945	Acquired	10000	Indirect
2020-08-10	Common Stock	A	2500	$3.932	Acquired	10000	Indirect
2020-08-10	Common Stock	A	2500	$3.943	Acquired	10000	Indirect

Footnotes

F1: Shares were acquired in a series of transactions at a range of prices with a weighted average of $3.946 per share. The reporting person undertakes to provide to Smith Micro Software, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range.

F2: Shares were acquired in a series of transactions at a range of prices with a weighted average of $3.945 per share. The reporting person undertakes to provide to Smith Micro Software, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range.

F3: Shares were acquired in a series of transactions at a range of prices with a weighted average of $3.932 per share. The reporting person undertakes to provide to Smith Micro Software, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range.

F4: Includes 7,500 shares acquired on May 17, 2017 but not previously reported due to administrative error.

F5: Shares held by MJA Investment, a limited liability company, with respect to which the reporting person makes investment decisions. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is a beneficial owner of such securities for purposes of Section 16 or any other purpose.

F6: Shares were acquired in a series of transactions at a range of prices with a weighted average of $3.943 per share. The reporting person undertakes to provide to Smith Micro Software, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range.

F7: Shares held by JBA Investment, a limited liability company, with respect to which the reporting person makes investment decisions. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is a beneficial owner of such securities for purposes of Section 16 or any other purpose.