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SMITH MICRO SOFTWARE, INC. — Director's Dealing 2021
Sep 3, 2021
35070_dirs_2021-09-03_65ee29e7-eee0-4b52-b34a-6c4a0c8defe8.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: 2021-08-31
Reporting Person: SMITH WILLIAM W JR (Director, President & CEO, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-08-31 | Common Stock | S | 537000 | $4.65 | Disposed | 3942451 | Direct |
| 2021-09-02 | Common Stock | M | 850000 | $2.3825 | Acquired | 4792451 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-09-02 | Warrant to Purchase Common Stock | $2.3825 | M | 850000 | Disposed | 2021-09-06 | Common Stock (850000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 455028 | Indirect |
| Common Stock | 6000 | Direct |
Footnotes
F1: Held in the William W. Smith, Jr. IRA
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