WILLIAM W. SMITH JR - 07 Nov 2025 Form 4 Insider Report for SMITH MICRO SOFTWARE, INC. (SMSI)

Role
President and CEO, Director, 10%+ Owner
Signature
/s/ Jennifer M. Reinke as attorney-in-fact for William W. Smith, Jr.
Issuer symbol
SMSI
Transactions as of
07 Nov 2025
Transactions value $
$1,500,000
Form type
4
Filing time
10 Nov 2025, 18:22:19 UTC
Previous filing
30 Sep 2025
Next filing
13 Nov 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
SMITH WILLIAM W JR President and CEO, Director, 10%+ Owner 5800 CORPORATE DRIVE, PITTSBURGH /s/ Jennifer M. Reinke as attorney-in-fact for William W. Smith, Jr. 10 Nov 2025 0001251368

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SMSI Common Stock Award $1.5M +2.24M +66.61% $0.67 5.59M 07 Nov 2025 Smith Living Trust F1
holding SMSI Common Stock 294K 07 Nov 2025 Direct

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 Common stock purchase warrant Award +2.24M 2.24M 07 Nov 2025 Common stock 2.24M $0.67 Smith Living Trust F1, F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.