0001209191-13-033264.txt : 20130621 0001209191-13-033264.hdr.sgml : 20130621 20130621170735 ACCESSION NUMBER: 0001209191-13-033264 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130614 FILED AS OF DATE: 20130621 DATE AS OF CHANGE: 20130621 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rawlings Daniel CENTRAL INDEX KEY: 0001579583 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35525 FILM NUMBER: 13927907 MAIL ADDRESS: STREET 1: 51 COLUMBIA CITY: ALISO VIEJO STATE: CA ZIP: 92656 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2013-06-14 0 0000948708 SMITH MICRO SOFTWARE INC SMSI 0001579583 Rawlings Daniel 51 COLUMBIA ALISO VIEJO CA 92656 0 1 0 0 Chief Revenue Officer Common Stock 24632 D Employee Stock Option (Right to Buy) 1.36 2023-03-13 Common Stock 75000 D Restricted stock grant vests over 48 months from date of grant (02/11/13). 50% vests evenly, monthly. 50% is based on 2013 performance with 25% vesting approximately March 2014 and the remainder evenly, monthly over the next 36 months. 25% exercisable on March 14, 2014; balance is exercisable in 36 successive monthly installments beginning April 14, 2014. Diane Gulling, Attorney in Fact for Daniel Rawlings. 2013-06-21 EX-24.3_478400 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 Loeb & Loeb 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 14th day of June, 2013. Signature: /s/ Daniel Rawlings Name: Daniel Rawlings