Last 12 months
Inside the activity.
0 purchase rows · 2 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 2 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 11, 2020 Filed Feb 14, 2020 00:32 UTC |
Huffmyer Timothy C.Chief Financial Officer
|
GrantCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-009429 · doc4.xml · nonDerivative · entry 1 Huffmyer Timothy C. · CIK 0001559111 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 332,778 F1 · security: 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. Read SEC document |
| February 11, 2020 Filed Feb 14, 2020 00:33 UTC |
SMITH WILLIAM W JRDirector · President & CEO · 10% owner
|
GrantCommon Stock | 175,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-009431 · doc4.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,427,553 F1 · security: 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. Read SEC document |
| February 11, 2020 Filed Feb 14, 2020 00:27 UTC |
SZABO GREGORY JDirector
|
GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-009427 · doc4.xml · nonDerivative · entry 1 SZABO GREGORY J · CIK 0001255114 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,000 F1 · security: Restricted Stock Grant - Vesting in 12 equal monthly installments beginning on March 11, 2020 Read SEC document |
| February 11, 2020 Filed Feb 14, 2020 00:26 UTC |
gulko samuelDirector
|
GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-009426 · doc4.xml · nonDerivative · entry 1 gulko samuel · CIK 0001308199 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,250 F1 · security: Restricted Stock Grant - Vesting in 12 equal monthly installments beginning on March 11, 2020 Read SEC document |
| February 11, 2020 Filed Feb 14, 2020 00:26 UTC |
Elfman Steven LawrenceDirector
|
GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-009425 · doc4.xml · nonDerivative · entry 1 Elfman Steven Lawrence · CIK 0001334805 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,750 F1 · security: Restricted Stock Grant - Vesting in 12 equal monthly installments beginning on March 11, 2020 Read SEC document |
| February 11, 2020 Filed Feb 14, 2020 00:23 UTC |
Arno AndrewDirector
|
GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-009423 · doc4.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 202,610 F1 · security: Restricted Stock Grant - Vesting in 12 equal monthly installments beginning on March 11, 2020 Read SEC document |
| December 23, 2019 Filed Dec 30, 2019 22:57 UTC |
SMITH WILLIAM W JRDirector · President & CEO · 10% owner
|
Tax withholdingCommon Stock | 9,523 | $5.04 | $47,995.92 |
DisclosureSEC source: 0001209191-19-062178 · doc4.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,252,553 F1 · shares: Shares withheld, at an average vesting price of $5.04 per share, for payment of income taxes. Read SEC document |
| December 23, 2019 Filed Dec 30, 2019 22:52 UTC |
Huffmyer Timothy C.Chief Financial Officer
|
Tax withholdingCommon Stock | 3,283 | $5.08 | $16,677.64 |
DisclosureSEC source: 0001209191-19-062174 · doc4.xml · nonDerivative · entry 1 Huffmyer Timothy C. · CIK 0001559111 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,778 F1 · shares: Shares withheld, at an average vesting price of $5.08 per share, for payment of income taxes Read SEC document |
| September 25, 2019 Filed Sep 26, 2019 21:04 UTC |
SMITH WILLIAM W JRDirector · President & CEO · 10% owner
|
Tax withholdingCommon Stock | 9,522 | $5.01 | $47,705.22 |
DisclosureSEC source: 0001209191-19-050881 · doc4.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,262,076 F1 · shares: Shares withheld, at an average vesting price of $5.01 per share, for payment of income taxes. Read SEC document |
| September 25, 2019 Filed Sep 26, 2019 21:03 UTC |
Huffmyer Timothy C.Chief Financial Officer
|
Tax withholdingCommon Stock | 3,282 | $4.97 | $16,311.54 |
DisclosureSEC source: 0001209191-19-050878 · doc4.xml · nonDerivative · entry 1 Huffmyer Timothy C. · CIK 0001559111 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 236,061 F1 · shares: Shares withheld, at an average vesting price of $4.97 per share, for payment of income taxes Read SEC document |
| August 13, 2019 Filed Aug 16, 2019 12:00 UTC |
CAMPBELL THOMAS GDirector
|
SaleCommon Stock | 20,000 | $6.19 | $123,800.00 |
DisclosureSEC source: 0001209191-19-046247 · doc4.xml · nonDerivative · entry 1 CAMPBELL THOMAS G · CIK 0001251303 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,000 F1 · price: The trade was executed in a series of transactions with a price range of $6.11 to $6.30, inclusive, with a weighted average price of $6.19. 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 sold at each separate price within the range set forth in this footnote. Read SEC document |
| July 30, 2019 Filed Aug 2, 2019 00:27 UTC |
Huffmyer Timothy C.Chief Financial Officer
|
SaleCommon Stock | 42,000 | $5.48 | $230,160.00 |
DisclosureSEC source: 0001209191-19-044129 · doc4.xml · nonDerivative · entry 1 Huffmyer Timothy C. · CIK 0001559111 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 239,343 F1 · price: The trade was executed in a series of transactions with a price range of $5.38 to $5.57, inclusive, with a weighted average price of $5.48. 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 sold at each separate price within the range set forth in this footnote. Read SEC document |
| June 26, 2019 Filed Jun 28, 2019 20:54 UTC |
SMITH WILLIAM W JRDirector · President & CEO · 10% owner
|
Tax withholdingCommon Stock | 8,877 | $3.12 | $27,696.24 |
DisclosureSEC source: 0001209191-19-039513 · doc4.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,271,598 F1 · shares: Shares withheld, at an average vesting price of $3.12 per share, for payment of income taxes. Read SEC document |
| June 26, 2019 Filed Jun 28, 2019 20:52 UTC |
Huffmyer Timothy C.Chief Financial Officer
|
Tax withholdingCommon Stock | 2,871 | $3.11 | $8,928.81 |
DisclosureSEC source: 0001209191-19-039511 · doc4.xml · nonDerivative · entry 1 Huffmyer Timothy C. · CIK 0001559111 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 281,343 F1 · shares: Shares withheld, at an average vesting price of $3.11 per share, for payment of income taxes Read SEC document |
| May 13, 2019 Filed May 14, 2019 21:10 UTC |
CAMPBELL THOMAS GDirector
|
SaleCommon Stock | 5,000 | $3.20 | $16,000.00 |
DisclosureSEC source: 0001209191-19-029708 · doc4.xml · nonDerivative · entry 1 CAMPBELL THOMAS G · CIK 0001251303 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,000 Read SEC document |
| March 28, 2019 Filed Apr 1, 2019 20:21 UTC |
Huffmyer Timothy C.Chief Financial Officer
|
Tax withholdingCommon Stock | 7,232 | $1.88 | $13,596.16 |
DisclosureSEC source: 0001209191-19-021979 · doc4.xml · nonDerivative · entry 1 Huffmyer Timothy C. · CIK 0001559111 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 284,214 F1 · shares: Shares withheld, at an average vesting price of $1.88 per share, for payment of income taxes Read SEC document |
| March 28, 2019 Filed Apr 1, 2019 20:20 UTC |
SMITH WILLIAM W JRDirector · President & CEO · 10% owner
|
Tax withholdingCommon Stock | 41,402 | $2.21 | $91,498.42 |
DisclosureSEC source: 0001209191-19-021977 · doc4.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,280,475 F1 · shares: Shares withheld, at an average vesting price of $2.21 per share, for payment of income taxes. Read SEC document |
| March 14, 2019 Filed Mar 15, 2019 12:39 UTC |
SMITH WILLIAM W JRDirector · President & CEO · 10% owner
|
GrantCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-019587 · doc4.xml · nonDerivative · entry 2 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,321,877 F2 · shares: Represents a discretionary award of unrestricted stock granted March 14, 2019 under the Plan. Read SEC document |
| March 13, 2019 Filed Mar 15, 2019 12:40 UTC |
Huffmyer Timothy C.Chief Financial Officer
|
Disposition to issuerCommon Stock | 3,121 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-019589 · doc4.xml · nonDerivative · entry 1 Huffmyer Timothy C. · CIK 0001559111 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 291,446 F1 · shares: Represents the forfeiture of a portion of the performance-based restricted stock granted to the reporting person on March 12, 2018 pursuant to the Smith Micro Software, Inc. ("Company") 2015 Omnibus Equity Incentive Plan (the "Plan"). The Company determined on March 13, 2019 that such shares would be forfeited in accordance with the terms of the grant. Read SEC document |
| March 13, 2019 Filed Mar 15, 2019 12:39 UTC |
SMITH WILLIAM W JRDirector · President & CEO · 10% owner
|
Disposition to issuerCommon Stock | 3,121 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-019587 · doc4.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,271,877 F1 · shares: Represents the forfeiture of a portion of the performance-based restricted stock granted to the reporting person on March 12, 2018 pursuant to the Smith Micro Software, Inc. ("Company") 2015 Omnibus Equity Incentive Plan (the "Plan"). The Company determined on March 13, 2019 that such shares would be forfeited in accordance with the terms of the grant. Read SEC document |
| February 12, 2019 Filed Feb 15, 2019 00:54 UTC |
SZABO GREGORY JDirector
|
GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-010452 · doc4.xml · nonDerivative · entry 1 SZABO GREGORY J · CIK 0001255114 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,000 F1 · security: Restricted Stock Grant - Vesting in 12 equal monthly installments beginning on March 12, 2019 Read SEC document |
| February 12, 2019 Filed Feb 15, 2019 00:52 UTC |
gulko samuelDirector
|
GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-010448 · doc4.xml · nonDerivative · entry 1 gulko samuel · CIK 0001308199 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,250 F1 · security: Restricted Stock Grant - Vesting in 12 equal monthly installments beginning on March 12, 2019 Read SEC document |
| February 12, 2019 Filed Feb 15, 2019 00:50 UTC |
Elfman Steven LawrenceDirector
|
GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-010446 · doc4.xml · nonDerivative · entry 1 Elfman Steven Lawrence · CIK 0001334805 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,750 F1 · security: Restricted Stock Grant - Vesting in 12 equal monthly installments beginning on March 12, 2019 Read SEC document |
| February 12, 2019 Filed Feb 15, 2019 00:48 UTC |
CAMPBELL THOMAS GDirector
|
GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-010444 · doc4.xml · nonDerivative · entry 1 CAMPBELL THOMAS G · CIK 0001251303 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,000 F1 · security: Restricted Stock Grant - Vesting in 12 equal monthly installments beginning on March 12, 2019 Read SEC document |
| February 12, 2019 Filed Feb 15, 2019 00:46 UTC |
Arno AndrewDirector
|
GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-010442 · doc4.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,610 F1 · security: Restricted Stock Grant - Vesting in 12 equal monthly installments beginning on March 12, 2019 Read SEC document |
| February 12, 2019 Filed Feb 15, 2019 00:43 UTC |
SMITH WILLIAM W JRDirector · President & CEO · 10% owner
|
GrantCommon Stock | 200,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-010440 · doc4.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,274,998 F1 · security: 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 2019 financial performance criteria, with 25% of such amount to vest approximately March 2020 and the remainder in equal monthly installments over the next 36 months. Read SEC document |
| February 12, 2019 Filed Feb 15, 2019 00:40 UTC |
Huffmyer Timothy C.Chief Financial Officer
|
GrantCommon Stock | 125,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-010438 · doc4.xml · nonDerivative · entry 1 Huffmyer Timothy C. · CIK 0001559111 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 294,567 F1 · security: 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 2019 financial performance criteria, with 25% of such amount to vest approximately March 2020 and the remainder in equal monthly installments over the next 36 months. Read SEC document |
| December 27, 2018 Filed Dec 28, 2018 22:51 UTC |
Huffmyer Timothy C.Chief Financial Officer
|
Tax withholdingCommon Stock | 1,800 | $2.22 | $3,996.00 |
DisclosureSEC source: 0001209191-18-064347 · doc4.xml · nonDerivative · entry 1 Huffmyer Timothy C. · CIK 0001559111 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,567 F1 · shares: Shares withheld, at an average vesting price of $2.46 per share, for payment of income taxes Read SEC document |
| December 27, 2018 Filed Dec 28, 2018 22:51 UTC |
SMITH WILLIAM W JRDirector · President & CEO · 10% owner
|
Tax withholdingCommon Stock | 6,834 | $2.23 | $15,239.82 |
DisclosureSEC source: 0001209191-18-064346 · doc4.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,074,998 F1 · shares: Shares withheld, at an average vesting price of $2.49 per share, for payment of income taxes Read SEC document |
| September 27, 2018 Filed Sep 28, 2018 20:26 UTC |
Huffmyer Timothy C.Chief Financial Officer
|
Tax withholdingCommon Stock | 1,788 | $2.46 | $4,398.48 |
DisclosureSEC source: 0001209191-18-052561 · doc4.xml · nonDerivative · entry 1 Huffmyer Timothy C. · CIK 0001559111 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,367 F1 · shares: Shares withheld, at an average vesting price of $2.46 per share, for payment of income taxes Read SEC document |
| September 27, 2018 Filed Sep 28, 2018 20:23 UTC |
SMITH WILLIAM W JRDirector · President & CEO · 10% owner
|
Tax withholdingCommon Stock | 6,834 | $2.49 | $17,016.66 |
DisclosureSEC source: 0001209191-18-052559 · doc4.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,081,832 F1 · shares: Shares withheld, at an average vesting price of $2.49 per share, for payment of income taxes Read SEC document |
| June 29, 2018 Filed Jul 2, 2018 20:39 UTC |
Huffmyer Timothy C.Chief Financial Officer
|
Tax withholdingCommon Stock | 1,845 | $1.99 | $3,671.55 |
DisclosureSEC source: 0001209191-18-040380 · doc4.xml · nonDerivative · entry 1 Huffmyer Timothy C. · CIK 0001559111 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,155 F1 · shares: Shares withheld, at an average vesting price of $1.99 per share, for payment of income taxes Read SEC document |
| June 29, 2018 Filed Jul 2, 2018 20:37 UTC |
SMITH WILLIAM W JRDirector · President & CEO · 10% owner
|
Tax withholdingCommon Stock | 6,834 | $2.04 | $13,941.36 |
DisclosureSEC source: 0001209191-18-040375 · doc4.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,088,666 F1 · shares: Shares withheld, at an average vesting price of $2.04 per share, for payment of income taxes Read SEC document |
| June 15, 2018 Filed Jun 18, 2018 20:13 UTC |
SMITH WILLIAM W JRDirector · President & CEO · 10% owner
|
Conversion10% Series B Convertible Preferred Stock · Derivative | 433 | $1,000.00 Strike: $1.14 | $433,000.00 |
DisclosureSEC source: 0001209191-18-038280 · doc4.xml · derivative · entry 4 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 379,825 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: The 10% Series B Convertible Preferred Stock is convertible into Smith Micro Software, Inc. common stock at a price per share of $1.14. F3 · derivative.expiration_date: The 10% Series B Convertible Preferred Stock has no expiration date. Read SEC document |
| June 15, 2018 Filed Jun 18, 2018 20:13 UTC |
SMITH WILLIAM W JRDirector · President & CEO · 10% owner
|
ConversionCommon Stock | 379,825 | $1.14 | $433,000.50 |
DisclosureSEC source: 0001209191-18-038280 · doc4.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,095,500 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 18, 2018 Filed May 21, 2018 20:31 UTC |
SMITH WILLIAM W JRDirector · President & CEO · 10% owner
|
Conversion10% Series B COnvertible Preferred Stock · Derivative | 3,647 | $1,000.00 Strike: $1.14 | $3,647,000.00 |
DisclosureSEC source: 0001209191-18-031869 · doc4.xml · derivative · entry 4 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 433 Underlying: Common Stock · 3,199,123 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: The 10% Series B Convertible Preferred Stock is convertible into Smith Micro Software, Inc. common stock at a price per share of $1.14. F3 · derivative.expiration_date: The 10% Series B Convertible Preferred Stock has no expiration date. Read SEC document |
| May 18, 2018 Filed May 21, 2018 20:31 UTC |
SMITH WILLIAM W JRDirector · President & CEO · 10% owner
|
ConversionCommon Stock | 3,199,123 | $1.14 | $3,647,000.22 |
DisclosureSEC source: 0001209191-18-031869 · doc4.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,715,675 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 18, 2018 Filed May 21, 2018 20:28 UTC |
Arno AndrewDirector
|
Conversion10% Series B Convertible Preferred Stock · Derivative | 50 | $1,000.00 Strike: $1.14 | $50,000.00 |
DisclosureSEC source: 0001209191-18-031862 · doc4.xml · derivative · entry 2 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 43,860 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The 10% Series B Convertible Preferred Stock is convertible into Smith Micro Software, Inc. common stock at a price per share of $1.14. F2 · derivative.expiration_date: The 10% Series B Convertible Preferred Stock has no expiration date. Read SEC document |
| May 18, 2018 Filed May 21, 2018 20:28 UTC |
Arno AndrewDirector
|
ConversionCommon Stock | 43,860 | $1.14 | $50,000.40 |
DisclosureSEC source: 0001209191-18-031862 · doc4.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,610 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 17, 2018 Filed May 18, 2017 21:03 UTC |
Arno AndrewDirector
|
GrantCommon Stock | 50,000 | $1.10 | $55,000.00 |
DisclosureSEC source: 0001209191-17-033635 · doc4.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,750 F1 · security: Private placement purchased from the Issuer. Read SEC document |
| May 17, 2018 Filed Jul 21, 2017 21:30 UTC Amendment |
Arno AndrewDirector
|
GrantCommon Stock | 50,000 | $1.10 | $55,000.00 |
DisclosureSEC source: 0001209191-17-046008 · doc4a.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,750 F1 · security: Private placement purchased from the Issuer. F2 · balance_after: Due to a clerical error, the balance that was originally reported did not reflect a 1:4 reverse stock split that took effect on August 17, 2016. Read SEC document |
| March 27, 2018 Filed Mar 28, 2018 21:26 UTC |
SMITH WILLIAM W JRDirector · President & CEO · 10% owner
|
Tax withholdingCommon Stock | 6,639 | $2.24 | $14,871.36 |
DisclosureSEC source: 0001209191-18-021952 · doc4.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 516,552 F1 · shares: Shares withheld, at an average vesting price of $2.24 per share, for payment of income taxes Read SEC document |
| March 12, 2018 Filed Mar 15, 2018 00:39 UTC |
SZABO GREGORY JDirector
|
GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-019733 · doc4.xml · nonDerivative · entry 1 SZABO GREGORY J · CIK 0001255114 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,000 F1 · security: Restricted Stock Grant - Vesting in 12 equal monthly installments beginning on April 12, 2018 Read SEC document |
| March 12, 2018 Filed Mar 15, 2018 00:33 UTC |
Huffmyer Timothy C.Chief Financial Officer
|
GrantCommon Stock | 125,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-019729 · doc4.xml · nonDerivative · entry 1 Huffmyer Timothy C. · CIK 0001559111 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,000 F1 · security: 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 2018 financial performance criteria, with 25% of such amount to vest approximately March 2019 and the remainder in equal monthly installments over the next 36 months. Read SEC document |
| March 12, 2018 Filed Mar 15, 2018 00:35 UTC |
SMITH WILLIAM W JRDirector · President & CEO · 10% owner
|
GrantCommon Stock | 125,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-019731 · doc4.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 523,191 F1 · security: 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 2018 financial performance criteria, with 25% of such amount to vest approximately March 2019 and the remainder in equal monthly installments over the next 36 months. Read SEC document |
| March 12, 2018 Filed Mar 15, 2018 00:32 UTC |
gulko samuelDirector
|
GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-019727 · doc4.xml · nonDerivative · entry 1 gulko samuel · CIK 0001308199 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,250 F1 · security: Restricted Stock Grant - Vesting in 12 equal monthly installments beginning on April 12, 2018 Read SEC document |
| March 12, 2018 Filed Mar 15, 2018 00:29 UTC |
Elfman Steven LawrenceDirector
|
GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-019722 · doc4.xml · nonDerivative · entry 1 Elfman Steven Lawrence · CIK 0001334805 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,750 F1 · security: Restricted Stock Grant - Vesting in 12 equal monthly installments beginning on April 12, 2018 Read SEC document |
| March 12, 2018 Filed Mar 15, 2018 00:28 UTC |
CAMPBELL THOMAS GDirector
|
GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-019719 · doc4.xml · nonDerivative · entry 1 CAMPBELL THOMAS G · CIK 0001251303 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,000 F1 · security: Restricted Stock Grant - Vesting in 12 equal monthly installments beginning on April 12, 2018 Read SEC document |
| March 12, 2018 Filed Mar 15, 2018 00:26 UTC |
Arno AndrewDirector
|
GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-019717 · doc4.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,750 F1 · security: Restricted Stock Grant - Vesting in 12 equal monthly installments beginning on April 12, 2018 Read SEC document |
| December 28, 2017 Filed Dec 29, 2017 17:10 UTC |
SMITH WILLIAM W JRDirector · President & CEO · 10% owner
|
Tax withholdingCommon Stock | 7,253 | $2.08 | $15,086.24 |
DisclosureSEC source: 0001209191-17-067616 · doc4.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 398,191 F1 · shares: Shares withheld, at an average vesting price of $2.08 per share, for payment of income taxes Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.