Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| FOSTER L B COFSTR · Entity 5689 | Controller & PAO | February 26, 2021 | March 02, 2021 |
| SMITH MICRO SOFTWARE, INC.SMSI · Entity 7775 | VP, CFO and Treasurer | May 12, 2025 | May 14, 2025 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
FOSTER L B CO
Report date February 26, 2021 · Filed March 02, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,520 |
Reported balance
After 2021-02-26 transaction · row 1
1 source rowRow 1 · 2021-02-26 · Grant · Acquired 2,100 · Balance 3,520 F1: Award of time vested restricted stock, which will vest in 33-1/3% increments on each of the first, second, and third anniversaries of the date of the grant. |
| Performance Stock UnitsSEC Table II · derivative / convertible security · Expires 2026-02-28 | Direct | 3,333 |
Reported balance
After 2021-03-01 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-03-01 · Grant · Acquired 3,333 · Balance 3,333 F2: Performance-based stock unit award which expires on 02/28/26, 5 years after the grant date. Fifty percent of the award, or 1,666 shares, may be earned when the consecutive 30 day average closing stock price per share of the Company's common stock on the Nasdaq Stock Market is $25.00 per share or more and is generally subject to continued employment with the Company until the third anniversary of the grant date. The remaining 50% of the award, or 1,667 shares, may be earned when the consecutive 30 day average closing stock price per share of the Company's common stock on the Nasdaq Stock Market is $30.00 per share or more and is generally subject to continued employment with the Company until the third anniversary of the grant date. If either or both of these measures are achieved after the third anniversary of the grant date, the shares will be issued upon attainment of such stock price goals and if the grantee is employed by the Company on the date of attainment of such goals. |
Filing footnotes · ownership attribution and instrument terms
F1: Award of time vested restricted stock, which will vest in 33-1/3% increments on each of the first, second, and third anniversaries of the date of the grant.
F2: Performance-based stock unit award which expires on 02/28/26, 5 years after the grant date. Fifty percent of the award, or 1,666 shares, may be earned when the consecutive 30 day average closing stock price per share of the Company's common stock on the Nasdaq Stock Market is $25.00 per share or more and is generally subject to continued employment with the Company until the third anniversary of the grant date. The remaining 50% of the award, or 1,667 shares, may be earned when the consecutive 30 day average closing stock price per share of the Company's common stock on the Nasdaq Stock Market is $30.00 per share or more and is generally subject to continued employment with the Company until the third anniversary of the grant date. If either or both of these measures are achieved after the third anniversary of the grant date, the shares will be issued upon attainment of such stock price goals and if the grantee is employed by the Company on the date of attainment of such goals.
SMITH MICRO SOFTWARE, INC.
Report date May 12, 2025 · Filed May 14, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 210,296 |
Ending reported balance
After 2025-05-13 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2025-05-12 · Disposition to issuer · Disposed 750 · Balance 217,631 F1: Shares of restricted stock forfeited in accordance with the terms of grant Row 2 · 2025-05-13 · Tax withholding · Disposed 7,335 · Balance 210,296 F2: Shares withheld, at an average vesting price of $0.94 per share, for the payment of income taxes |
Filing footnotes · ownership attribution and instrument terms
F1: Shares of restricted stock forfeited in accordance with the terms of grant
F2: Shares withheld, at an average vesting price of $0.94 per share, for the payment of income taxes
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 13, 2025 Filed May 14, 2025 21:09 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 7,335 | $0.94 | $6,894.90 |
DisclosureSEC source: 0001628280-25-025561 · wk-form4_1747256954.xml · nonDerivative · entry 2 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 210,296 F2 · price: Shares withheld, at an average vesting price of $0.94 per share, for the payment of income taxes Read SEC document |
| May 12, 2025 Filed May 14, 2025 21:09 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Disposition to issuerCommon Stock | 750 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-25-025561 · wk-form4_1747256954.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 217,631 F1 · shares: Shares of restricted stock forfeited in accordance with the terms of grant Read SEC document |
| April 17, 2025 Filed Apr 21, 2025 20:55 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 3,856 | $0.81 | $3,104.08 |
DisclosureSEC source: 0001628280-25-018655 · wk-form4_1745268916.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 218,381 F1 · price: Shares withheld, at an average vesting price of $0.805 per share, for the payment of income taxes. Read SEC document |
| March 31, 2025 Filed Apr 2, 2025 22:28 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | GrantCommon Stock | 250 | $0.62 | $155.00 |
DisclosureSEC source: 0001628280-25-016310 · wk-form4_1743632898.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 222,237 F1 · shares: Voluntary disclosure with respect to shares acquired under the Smith Micro Software, Inc. Employee Stock Purchase Plan in a transaction exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| March 13, 2025 Filed Mar 13, 2025 23:07 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 3,778 | $0.71 | $2,682.38 |
DisclosureSEC source: 0001628280-25-012694 · wk-form4_1741907214.xml · nonDerivative · entry 2 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 221,987 F2 · price: Shares withheld, at an average vesting price of $0.71 per share, for the payment of income taxes. Read SEC document |
| March 11, 2025 Filed Mar 13, 2025 23:07 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Disposition to issuerCommon Stock | 379 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-25-012694 · wk-form4_1741907214.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 225,765 F1 · shares: Shares of restricted stock forfeited in accordance with the terms of grant. Read SEC document |
| March 05, 2025 Filed Mar 7, 2025 12:36 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | GrantCommon Stock | 57,851 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-25-011142 · wk-form4_1741350997.xml · nonDerivative · entry 2 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 226,144 F2 · shares: Restricted stock subject to performance-based vesting. Shares will vest in installments subject to satisfaction of performance criteria for the first and second quarters of 2025. Read SEC document |
| March 05, 2025 Filed Mar 7, 2025 12:36 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | GrantCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-25-011142 · wk-form4_1741350997.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 168,293 F1 · shares: 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 2025 financial performance criteria, with 25% of such amount to vest approximately March 2026 and the remainder in equal monthly installments over the next 36 months. Read SEC document |
| February 19, 2025 Filed Feb 20, 2025 22:09 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 213 | $1.39 | $296.07 |
DisclosureSEC source: 0001628280-25-006850 · wk-form4_1740089373.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 68,293 F1 · price: Shares withheld, at an average vesting price of $1.39 per share, for the payment of income taxes. Read SEC document |
| January 17, 2025 Filed Jan 21, 2025 12:49 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 1,640 | $1.23 | $2,017.20 |
DisclosureSEC source: 0001628280-25-001945 · wk-form4_1737463760.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 68,506 F1 · price: Shares withheld, at an average vesting price of $1.23 per share, for the payment of income taxes. Read SEC document |
| December 17, 2024 Filed Dec 18, 2024 23:11 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 183 | $0.76 | $139.08 |
DisclosureSEC source: 0001628280-24-051922 · wk-form4_1734563468.xml · nonDerivative · entry 2 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 70,146 F2 · price: Shares withheld, at an average vesting price of $0.76 per share, for the payment of income taxes. Read SEC document |
| December 16, 2024 Filed Dec 18, 2024 23:11 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | SaleCommon Stock | 437 | $0.79 | $344.62 |
DisclosureSEC source: 0001628280-24-051922 · wk-form4_1734563468.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 70,329 F1 · price: Shares were sold for tax planning purposes at a price of $0.7886 per share. Read SEC document |
| November 13, 2024 Filed Nov 14, 2024 22:15 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 3,097 | $0.90 | $2,787.30 |
DisclosureSEC source: 0001628280-24-047966 · wk-form4_1731622528.xml · nonDerivative · entry 2 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 70,767 F2 · price: Shares withheld, at an average vesting price of $0.90 per share, for the payment of income taxes. Read SEC document |
| November 12, 2024 Filed Nov 14, 2024 22:15 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Disposition to issuerCommon Stock | 322 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-047966 · wk-form4_1731622528.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 73,864 F1 · shares: Shares of restricted stock forfeited in accordance with the terms of grant Read SEC document |
| October 17, 2024 Filed Oct 22, 2024 20:46 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 1,386 | $1.02 | $1,413.72 |
DisclosureSEC source: 0001628280-24-043293 · wk-form4_1729630012.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 74,186 F1 · price: Shares withheld, at an average vesting price of $1.02 per share, for the payment of income taxes. F2 · balance_after: Includes 219 shares acquired on September 30, 2024, at a price of $0.867 per share, pursuant to the Smith Micro Software, Inc. Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| September 17, 2024 Filed Sep 19, 2024 23:18 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 183 | $0.60 | $109.43 |
DisclosureSEC source: 0001628280-24-040969 · wk-form4_1726787930.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 75,353 F1 · price: Shares withheld, at an average vesting price of $0.598 per share, for the payment of income taxes. Read SEC document |
| August 13, 2024 Filed Aug 14, 2024 22:05 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 1,202 | $0.85 | $1,021.70 |
DisclosureSEC source: 0001628280-24-037311 · wk-form4_1723673123.xml · nonDerivative · entry 2 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 75,536 F2 · price: Shares withheld, at an average vesting price of $0.85 per share, for the payment of income taxes. Read SEC document |
| August 12, 2024 Filed Aug 14, 2024 22:05 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Disposition to issuerCommon Stock | 141 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-037311 · wk-form4_1723673123.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 76,738 F1 · shares: Shares of restricted stock forfeited in accordance with the terms of grant Read SEC document |
| July 22, 2024 Filed Jul 24, 2024 12:19 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 602 | $2.28 | $1,372.56 |
DisclosureSEC source: 0001628280-24-032725 · wk-form4_1721823564.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 76,879 F1 · price: Shares withheld, at an average vesting price of $2.28 per share, for the payment of income taxes. Read SEC document |
| July 08, 2024 Filed Jul 10, 2024 20:50 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | GrantCommon Stock | 29,538 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-031607 · wk-form4_1720644601.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 77,481 F1 · shares: Restricted stock subject to performance-based vesting. Shares will vest in installments subject to satisfaction of performance criteria for the third and fourth quarters of 2024. Read SEC document |
| June 20, 2024 Filed Jun 25, 2024 10:09 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 214 | $2.22 | $475.08 |
DisclosureSEC source: 0001628280-24-029691 · wk-form4_1719310136.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 47,943 F1 · price: Shares withheld, at an average vesting price of $2.22 per share, for the payment of income taxes. Read SEC document |
| May 21, 2024 Filed May 22, 2024 21:36 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 1,826 | $2.51 | $4,583.26 |
DisclosureSEC source: 0001628280-24-024774 · wk-form4_1716413763.xml · nonDerivative · entry 2 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 48,157 F3 · price: Shares withheld, at an average vesting price of $2.51 per share, for the payment of income taxes. F2 · balance_after: Effective at 11:59pm ET on April 10, 2024, Smith Micro Software, Inc. effected a 1:8 reverse stock split. Shareholdings reported herein reflect the effects of the reverse stock split. Read SEC document |
| May 20, 2024 Filed May 22, 2024 21:36 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 432 | $2.43 | $1,049.76 |
DisclosureSEC source: 0001628280-24-024774 · wk-form4_1716413763.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 49,983 F1 · price: Shares withheld, at an average vesting price of $2.43 per share, for the payment of income taxes. F2 · balance_after: Effective at 11:59pm ET on April 10, 2024, Smith Micro Software, Inc. effected a 1:8 reverse stock split. Shareholdings reported herein reflect the effects of the reverse stock split. Read SEC document |
| April 01, 2024 Filed Apr 1, 2024 20:39 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | GrantCommon Stock | 250 | $0.29 | $72.25 |
DisclosureSEC source: 0001628280-24-014068 · wk-form4_1712003977.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 403,317 F1 · shares: Voluntary disclosure with respect to shares acquired under the Smith Micro Software, Inc. Employee Stock Purchase Plan in a transaction exempt under both Rule 16b-3(d) and Rule 16b-3(c) Read SEC document |
| March 19, 2024 Filed Mar 21, 2024 20:56 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 4,906 | $0.34 | $1,668.04 |
DisclosureSEC source: 0001628280-24-012566 · wk-form4_1711054584.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 403,067 F1 · price: Shares withheld, at an average vesting price of $0.34 per share, for the payment of income taxes. Read SEC document |
| March 13, 2024 Filed Mar 15, 2024 20:34 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | SaleCommon Stock | 4,804 | $0.35 | $1,681.40 |
DisclosureSEC source: 0001628280-24-011493 · wk-form4_1710534867.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 407,973 F1 · shares: Sell-to-cover transaction to satisfy withholding tax obligation in connection with the vesting of a restricted stock award Read SEC document |
| February 22, 2024 Filed Feb 23, 2024 11:49 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Disposition to issuerCommon Stock | 7,291 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-006506 · wk-form4_1708688966.xml · nonDerivative · entry 4 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 412,777 F4 · shares: Shares of restricted stock forfeited in accordance with the terms of grant. Read SEC document |
| February 22, 2024 Filed Feb 23, 2024 11:49 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 1,018 | $0.77 | $783.86 |
DisclosureSEC source: 0001628280-24-006506 · wk-form4_1708688966.xml · nonDerivative · entry 3 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 420,068 F3 · shares: Shares withheld, at an average vesting price of $0.77 per share, for the payment of income taxes. Read SEC document |
| February 21, 2024 Filed Feb 23, 2024 11:49 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | GrantCommon Stock | 86,422 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-006506 · wk-form4_1708688966.xml · nonDerivative · entry 2 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 421,086 F2 · shares: Restricted stock subject to performance-based vesting. Shares will vest in installments subject to satisfaction of performance criteria for the first and second quarters of 2024. Read SEC document |
| February 21, 2024 Filed Feb 23, 2024 11:49 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | GrantCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-006506 · wk-form4_1708688966.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 334,664 F1 · shares: 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 2024 financial performance criteria, with 25% of such amount to vest approximately March 2025 and the remainder in equal monthly installments over the next 36 months. Read SEC document |
| January 23, 2024 Filed Jan 24, 2024 21:36 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | SaleCommon Stock | 2,293 | $0.77 | $1,754.37 |
DisclosureSEC source: 0001628280-24-002068 · wk-form4_1706132210.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 234,664 F1 · shares: Sell-to-cover transaction to satisfy withholding tax obligation in connection with the vesting of a restricted stock award Read SEC document |
| January 18, 2024 Filed Jan 22, 2024 21:32 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 1,016 | $0.77 | $782.32 |
DisclosureSEC source: 0001628280-24-001858 · wk-form4_1705959143.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 236,957 F1 · price: Shares withheld, at an average vesting price of $0.77 per share, for the payment of income taxes. Read SEC document |
| December 19, 2023 Filed Dec 20, 2023 22:04 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 857 | $0.74 | $634.18 |
DisclosureSEC source: 0001628280-23-042287 · wk-form4_1703109876.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 237,973 F1 · price: Shares withheld, at an average vesting price of $0.74 per share, for the payment of income taxes. Read SEC document |
| December 01, 2023 Filed Dec 1, 2023 23:09 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | SaleCommon Stock | 6,780 | $0.67 | $4,542.60 |
DisclosureSEC source: 0001628280-23-040478 · wk-form4_1701472180.xml · nonDerivative · entry 2 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 238,830 F2 · shares: Sell-to-cover transaction to satisfy withholding tax obligation in connection with the vesting of a restricted stock award Read SEC document |
| November 30, 2023 Filed Dec 1, 2023 23:09 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Disposition to issuerCommon Stock | 577 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-23-040478 · wk-form4_1701472180.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 245,610 F1 · shares: Shares of restricted stock forfeited in accordance with the terms of grant Read SEC document |
| November 17, 2023 Filed Nov 20, 2023 21:27 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 857 | $0.81 | $694.17 |
DisclosureSEC source: 0001628280-23-039623 · wk-form4_1700515622.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 246,187 F1 · price: Shares withheld, at an average vesting price of $0.81 per share, for the payment of income taxes. Read SEC document |
| October 18, 2023 Filed Oct 19, 2023 20:40 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 857 | $1.13 | $968.41 |
DisclosureSEC source: 0001628280-23-034707 · wk-form4_1697748027.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 247,044 F1 · price: Shares withheld, at an average vesting price of $1.13 per share, for the payment of income taxes. Read SEC document |
| October 02, 2023 Filed Oct 2, 2023 20:48 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | GrantCommon Stock | 250 | $1.03 | $257.13 |
DisclosureSEC source: 0001628280-23-033494 · wk-form4_1696279694.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 247,901 F1 · shares: Voluntary disclosure with respect to shares acquired under the Smith Micro Software, Inc. Employee Stock Purchase Plan in a transaction exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| September 20, 2023 Filed Sep 21, 2023 20:55 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 857 | $1.34 | $1,148.38 |
DisclosureSEC source: 0001628280-23-032794 · wk-form4_1695329695.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 247,651 F1 · price: Shares withheld, at an average vesting price of $1.34 per share, for the payment of income taxes. Read SEC document |
| August 23, 2023 Filed Aug 24, 2023 22:47 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | GrantCommon Stock | 46,360 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-23-030553 · wf-form4_169291723042188.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 248,508 F1 · shares: Restricted stock subject to performance-based vesting. Shares will vest in installments subject to satisfaction of performance criteria for the third and fourth quarters of 2023. Read SEC document |
| August 17, 2023 Filed Aug 21, 2023 21:12 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 857 | $1.74 | $1,491.18 |
DisclosureSEC source: 0001628280-23-030145 · wf-form4_169265235186939.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 202,148 F1 · price: Shares withheld, at an average vesting price of $1.74 per share, for the payment of income taxes. Read SEC document |
| July 19, 2023 Filed Jul 21, 2023 20:19 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 857 | $1.13 | $968.41 |
DisclosureSEC source: 0001628280-23-025338 · wf-form4_168997075675020.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 203,005 F1 · price: Shares withheld, at an average vesting price of $1.13 per share, for the payment of income taxes. Read SEC document |
| June 20, 2023 Filed Jun 23, 2023 00:05 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 857 | $1.15 | $985.55 |
DisclosureSEC source: 0001628280-23-023190 · wf-form4_168747872823515.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 203,862 F1 · price: Shares withheld, at an average vesting price of $1.15 per share, for the payment of income taxes. Read SEC document |
| June 14, 2023 Filed Jun 15, 2023 20:58 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | PurchaseCommon Stock | 1,000 | $1.19 | $1,190.00 |
DisclosureSEC source: 0001628280-23-022279 · wf-form4_168686268844513.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 204,719 Read SEC document |
| May 18, 2023 Filed May 19, 2023 21:19 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 1,018 | $1.16 | $1,180.88 |
DisclosureSEC source: 0001628280-23-019124 · wf-form4_168453115566486.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 203,719 F1 · price: Shares withheld, at an average vesting price of $1.16 per share, for the payment of income taxes. Read SEC document |
| April 18, 2023 Filed Apr 19, 2023 21:13 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 1,016 | $1.13 | $1,148.08 |
DisclosureSEC source: 0001628280-23-012086 · wf-form4_168193882838680.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 204,737 F1 · price: Shares withheld, at an average vesting price of $1.13 per share, for the payment of income taxes. Read SEC document |
| April 03, 2023 Filed Apr 3, 2023 21:43 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | GrantCommon Stock | 250 | $0.99 | $246.50 |
DisclosureSEC source: 0001628280-23-010424 · wf-form4_168055820241898.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 205,753 F1 · shares: Voluntary disclosure with respect to shares acquired under the Smith Micro Software, Inc. Employee Stock Purchase Plan in a transaction exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| March 17, 2023 Filed Mar 21, 2023 21:41 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Tax withholdingCommon Stock | 4,090 | $1.17 | $4,785.30 |
DisclosureSEC source: 0001628280-23-008776 · wf-form4_167943485013856.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 205,503 F1 · price: Shares withheld, at an average vesting price of $1.17 per share, for the payment of income taxes. Read SEC document |
| March 09, 2023 Filed Mar 9, 2023 22:50 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | Disposition to issuerCommon Stock | 5,761 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-23-007384 · wf-form4_167840221254880.xml · nonDerivative · entry 2 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 209,593 F2 · shares: Shares of restricted stock forfeited in accordance with the terms of grant Read SEC document |
| March 07, 2023 Filed Mar 9, 2023 22:50 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | GrantCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-23-007384 · wf-form4_167840221254880.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 215,354 F1 · shares: 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 2023 financial performance criteria, with 25% of such amount to vest approximately March 2024 and the remainder in equal monthly installments over the next 36 months. 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.