| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | SMSI | Common Stock | Sale | $-4,078 | -11,651 | -1.7% | $0.3500 | 673,262 | 13 Mar 2024 | Direct | F1 |
| holding | SMSI | Common Stock | 5,011,941 | 13 Mar 2024 | Smith Living Trust |
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
| Id | Content |
|---|---|
| F1 | Sell-to-cover transaction to satisfy withholding tax obligation in connection with the vesting of a restricted stock award |