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

Feb 13, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: SMITH MICRO SOFTWARE, INC. (SMSI)
CIK: 0000948708
Period of Report: 2020-02-11

Reporting Person: SMITH WILLIAM W JR (Director, President & CEO, 10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-02-11	Common Stock	A	175000	$0.00	Acquired	4427553	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	455028	Indirect
Common Stock	6000	Direct

Footnotes

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 2020 financial performance criteria, with 25% of such amount to vest approximately March 2021 and the remainder in equal monthly installments over the next 36 months.

F2: Held in the William W. Smith, Jr. IRA