-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, QqNKGiA+G0vMVhjxHZXuKSkW40R9rd4s9dnC/7I9koHk8xvu91tKd9Rj9G/HpTeV itpS/9QIWkDSEsPdEm3TQQ== 0001209191-04-049562.txt : 20041026 0001209191-04-049562.hdr.sgml : 20041026 20041026161729 ACCESSION NUMBER: 0001209191-04-049562 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20041022 FILED AS OF DATE: 20041026 DATE AS OF CHANGE: 20041026 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SPERLING DAVID P CENTRAL INDEX KEY: 0001251366 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26536 FILM NUMBER: 041096907 MAIL ADDRESS: STREET 1: 51 COLUMBIA CITY: ALISOVIEJO STATE: CA ZIP: 92656 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SMITH MICRO SOFTWARE INC CENTRAL INDEX KEY: 0000948708 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 330029027 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 51 COLUMBIA STREET 2: STE 200 CITY: ALISO VIEJO STATE: CA ZIP: 92656 BUSINESS PHONE: 7143625800 MAIL ADDRESS: STREET 1: 51 COLUMBIA STREET 2: STE 200 CITY: ALISO VIEJO STATE: CA ZIP: 92656 4 1 doc4.xml FORM 4 SUBMISSION X0202 4 2004-10-22 0 0000948708 SMITH MICRO SOFTWARE INC SMSI 0001251366 SPERLING DAVID P 51 COLUMBIA SUITE 200 ALISO VIEJO CA 92656 0 1 0 0 CTO Common Stock 2004-10-22 4 M 0 10000 1.563 A 0 D Common Stock 2004-10-22 4 S 0 10000 6.2135 D 0 D Common Stock 2004-10-22 4 M 0 20000 3.813 A 0 D Common Stock 2004-10-22 4 S 0 20000 6.2135 D 0 D Employee Stock Option (right to buy) 1.563 2004-10-22 4 M 0 10000 1.563 D 2009-09-23 Common Stock 10000 10000 D Employee Stock Option (right to buy) 3.813 2004-10-22 4 M 0 20000 3.813 D 2010-02-24 Common Stock 20000 30000 D 25% exercisable on 09/24/2000; balance exercisable in 36 successive equal monthly installments. 25% exercisable on 12/29/2001; balance exercisable in 36 successive equal monthly installments. /s/ Diane Gulling, Attorney in Fact for David P. Sperling 2004-10-26 -----END PRIVACY-ENHANCED MESSAGE-----