William W. Smith Jr - Aug 31, 2021 Form 4 Insider Report for SMITH MICRO SOFTWARE, INC. (SMSI)

Role
President & CEO, Director, 10%+ Owner
Signature
/s/Jennifer M. Reinke, attorney-in-fact for William W. Smith, Jr.
Stock symbol
SMSI
Transactions as of
Aug 31, 2021
Transactions value $
-$471,925
Form type
4
Date filed
9/3/2021, 06:02 AM
Previous filing
Aug 19, 2021
Next filing
Sep 20, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SMSI Common Stock Sale -$2.5M -537K -11.99% $4.65 3.94M Aug 31, 2021 Direct
transaction SMSI Common Stock Options Exercise $2.03M +850K +21.56% $2.38 4.79M Sep 2, 2021 Direct
holding SMSI Common Stock 455K Aug 31, 2021 The William W. Smith, Jr. Revocable Trust
holding SMSI Common Stock 6K Aug 31, 2021 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction SMSI Warrant to Purchase Common Stock Options Exercise $0 -850K -100% $0.00* 0 Sep 2, 2021 Common Stock 850K $2.38 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Held in the William W. Smith, Jr. IRA