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SMITH MICRO SOFTWARE, INC. — Major Shareholding Notification 2010
Feb 16, 2010
35070_mrq_2010-02-16_85e62de8-031e-46d8-bd90-a9abfdc4f157.zip
Major Shareholding Notification
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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934 (Amendment No. 3)
SMITH MICRO SOFTWARE, INC.
(Name of Issuer)
Common Stock, $0.001 par value (Title of Class of Securities)
832154108 (CUSIP Number)
December 31, 2009 (Date of Event Which Requires Filing of this Statement)
Check appropriate box to designate the rule pursuant to which this Schedule is filed:
o Rule 13d-1(b)
o Rule 13d-1(c)
þ Rule 13d-1(d)
The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
(Continued on following pages)
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TOC /TOC
CUSIP No. 832154108 13G Page 2 of 5 Pages
| 1 | NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON William W. Smith, Jr. | |
|---|---|---|
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | |
| (a) o | ||
| (b) o | ||
| 3 | SEC USE ONLY | |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION | |
| USA | ||
| 5 | SOLE VOTING POWER | |
| NUMBER OF | 2,737,115 shares | |
| SHARES | 6 | SHARED VOTING POWER |
| BENEFICIALLY | ||
| OWNED BY | 0 shares | |
| EACH | 7 | SOLE DISPOSITIVE POWER |
| REPORTING | ||
| PERSON | 2,737,115 shares | |
| WITH | 8 | SHARED DISPOSITIVE POWER |
| 0 shares | ||
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |
| 2,737,115 shares | ||
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | |
| o | ||
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | |
| 8.2% | ||
| 12 | TYPE OF REPORTING PERSON* | |
| IN |
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Page 3 of 5 Pages
link2 "Item 1. (a) NAME OF ISSUER"
Item 1. (a) NAME OF ISSUER
Smith Micro Software, Inc.
link2 "Item 1. (b) ADDRESS OF ISSUERS PRINCIPAL EXECUTIVE OFFICES"
Item 1. (b) ADDRESS OF ISSUERS PRINCIPAL EXECUTIVE OFFICES:
51 Columbia, Aliso Viejo, CA 92656
link2 "Item 2. (a) NAME OF PERSON FILING"
Item 2. (a) NAME OF PERSON FILING:
William W. Smith, Jr.
link2 "Item 2. (b) ADDRESS OF PRINCIPAL OFFICE"
Item 2. (b) ADDRESS OF PRINCIPAL OFFICE
51 Columbia, Aliso Viejo, CA 92656
link2 "Item 2. (c) CITIZENSHIP"
Item 2. (c) CITIZENSHIP:
USA
link2 "Item 2. (d) TITLE OF CLASS OF SECURITIES"
Item 2. (d) TITLE OF CLASS OF SECURITIES:
Common Stock, $0.001 par value
link2 "Item 2. (e) CUSIP NUMBER"
Item 2. (e) CUSIP NUMBER :
832154108
link2 "Item 3. Not applicable"
ITEM 3. Not applicable.
link2 "Item 4. OWNERSHIP"
ITEM 4. OWNERSHIP
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
| (a) |
|---|
| 2,737,115 shares |
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Page 4 of 5 Pages
| (b) | Percent of Class: |
|---|---|
| 8.2% | |
| (c) | Number of shares as to which such person has: |
| (i) | Sole power to vote or to direct the vote: |
|---|---|
| 2,737,115 shares | |
| (ii) | Shared power to vote or to direct the vote: |
| 0 shares | |
| (iii) | Sole power to dispose or to direct the disposition of: |
| 2,737,115 shares | |
| (iv) | Shared power to dispose or to direct the disposition of: |
| 0 shares |
link2 "Item 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS"
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following o .
link2 "Item 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON"
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON
Not applicable.
link2 "Item 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY"
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY
Not applicable.
link2 "Item 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP"
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP
Not applicable.
link2 "Item 9. NOTICE OF DISSOLUTION OF THE GROUP"
ITEM 9. NOTICE OF DISSOLUTION OF THE GROUP
Not applicable.
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Page 5 of 5 Pages
link2 "Item 10. CERTIFICATION"
ITEM 10. CERTIFICATION
Not applicable.
link1 "SIGNATURE"
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
| Date: February 12, 2010 |
|---|
| /s/ William W. Smith, Jr. |
| Signature |
| William W. Smith, Jr. |
| Name |
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