-----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, Uv2Im1sNe8rQDxSvAQMercAGRCV5ckMl6eQT+dizkNZhnpUHEhpQbOvVfVHxgC3H nbBqYYmoouQS+oX8VJYmIQ== 0001209191-11-013404.txt : 20110228 0001209191-11-013404.hdr.sgml : 20110228 20110228192644 ACCESSION NUMBER: 0001209191-11-013404 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20110222 FILED AS OF DATE: 20110228 DATE AS OF CHANGE: 20110228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Carpenter Rick CENTRAL INDEX KEY: 0001513889 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26536 FILM NUMBER: 11648414 MAIL ADDRESS: STREET 1: 51 COLUMBIA CITY: ALISO VIEJO 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: 9493625800 MAIL ADDRESS: STREET 1: 51 COLUMBIA STREET 2: STE 200 CITY: ALISO VIEJO STATE: CA ZIP: 92656 3 1 doc3.xml FORM 3 SUBMISSION X0203 3 2011-02-22 0 0000948708 SMITH MICRO SOFTWARE INC SMSI 0001513889 Carpenter Rick 51 COLUMBIA ALISO VIEJO CA 92656 0 1 0 0 VP & General Manager, Wireless Common Stock 9907 D Common Stock 50000 D Restricted stock grant of 9,907 shares on 08/17/2009. 25% vested on 08/17/2010; balance vesting in 36 successive equal monthly installments. 6,192 shares unvested at 02/22/2011. Restricted Stock Grant of 50,000 shares on 02/19/2010. 50% are based on 2010 performance and will vest 25% on the measurement date (late February/early March 2011) and the remainder in 36 successive equal monthly installments. The remaining 50% vests evenly over 48 months beginning March 19, 2010. A total of 43,750 shares are unvested at 02/22/2011. /s/ Diane Gulling, Attorney in Fact for Rick Carpenter 2011-02-28 EX-24.3_366670 2 poa.txt POA DOCUMENT POWER OF ATTORNEY KNOW ALL BY THESE PRESENTS, that the undersigned hereby constitutes and appoints Diane Gulling, Andrew Schmidt, William W. Smith, Jr., and Allen Sussman and certain other members or persons associated with ReedSmith LLP, and each of them with full authority to act without the others, as the undersigned's true and lawful attorneys-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as a reporting person pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules thereunder of Smith Micro Corporation (the "Company"), Forms 3, 4 and 5 in accordance with Section 16(a) of the Exchange Act; (2) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4 or 5 and timely file such form with the United States Securities and Exchange Commission and stock exchange or similar authority; and (3) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of any of such attorneys-in- fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by any of such attorneys-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as any of such attorneys-in-fact may approve in the discretion of any of such attorneys-in-fact. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that any of such attorneys-in-fact, or the substitute or substitutes of any of such attorneys-in-fact, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Exchange Act. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys- in-fact. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 23rd day of February, 2011. Signature: /s/ Rick Carpenter Name: Rick Carpenter -----END PRIVACY-ENHANCED MESSAGE-----