0001209191-13-008617.txt : 20130213 0001209191-13-008617.hdr.sgml : 20130213 20130213194800 ACCESSION NUMBER: 0001209191-13-008617 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130211 FILED AS OF DATE: 20130213 DATE AS OF CHANGE: 20130213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Carpenter Rick CENTRAL INDEX KEY: 0001513889 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35525 FILM NUMBER: 13605516 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2013-02-11 0 0000948708 SMITH MICRO SOFTWARE INC SMSI 0001513889 Carpenter Rick 51 COLUMBIA ALISO VIEJO CA 92656 0 1 0 0 SVP - Engineering Common Stock 2013-02-11 4 A 0 150000 0.00 A 353263 D Common Stock 2013-02-13 4 D 0 8450 0.00 D 344813 D Common Stock 2013-02-13 4 D 0 273 1.4333 D 344540 D Restricted Stock vests over 48 months. 50% of the shares are based on 2012 performance and vest evenly, monthly over 48 months. 50% are based on 2013 performance with 25% vesting approximately March 2014 and the remainder evenly, monthly, over the next 36 months. The shares represent a portion of a performance-based restricted stock award that were forfeited upon reporting of the company's fiscal 2012 financial results Shares withheld, at an average vesting price of $1.4333 per share, for payment of income taxes. Diane Gulling, Attorney in Fact for Rick Carpenter 2013-02-13