WILLIAM W. SMITH JR - 31 Aug 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.
Issuer symbol
SMSI
Transactions as of
31 Aug 2021
Net transactions value
-$471,925
Form type
4
Filing time
03 Sep 2021, 06:02:18 UTC
Previous filing
19 Aug 2021
Next filing
20 Sep 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SMSI Common Stock Sale $2,497,050 -537,000 -12% $4.65 3,942,451 31 Aug 2021 Direct
transaction SMSI Common Stock Options Exercise $2,025,125 +850,000 +22% $2.38 4,792,451 02 Sep 2021 Direct
holding SMSI Common Stock 455,028 31 Aug 2021 The William W. Smith, Jr. Revocable Trust
holding SMSI Common Stock 6,000 31 Aug 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 -850,000 -100% $0.000000* 0 02 Sep 2021 Common Stock 850,000 $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