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SMITH MICRO SOFTWARE, INC. — Director's Dealing 2025
Nov 10, 2025
35070_dirs_2025-11-10_fb52bbd4-85f6-426d-bd3d-ed23cc41498a.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: 2025-11-07
Reporting Person: SMITH WILLIAM W JR (Director, President and CEO, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2025-11-07 | Common Stock | A | 2236136 | $0.6708 | Acquired | 5592968 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2025-11-07 | Common stock purchase warrant | $0.6708 | A | 2236136 | Acquired | Common stock (2236136) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 294062 | Direct |
Footnotes
F1: Pursuant to a Securities Purchase Agreement dated November 5, 2025, between Smith Micro Software, Inc. (the "Company") and the Purchaser parties thereto, Smith Living Trust (for which William W. Smith, Jr. serves as co-trustee) agreed to purchase 2,236,136 shares of common stock, together with a warrant to purchase an equal number of shares of common stock, at a purchase price of $0.6708 per share. The purchase was completed and the securities were issued on November 7, 2025.
F2: The warrant will become exercisable upon the date that it is approved by the Company's stockholders in accordance with applicable Nasdaq rules (the "Stockholder Approval Date").
F3: Five (5) years after the Stockholder Approval Date.