0001209191-20-046435.txt : 20200812 0001209191-20-046435.hdr.sgml : 20200812 20200812175917 ACCESSION NUMBER: 0001209191-20-046435 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200810 FILED AS OF DATE: 20200812 DATE AS OF CHANGE: 20200812 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Arno Andrew CENTRAL INDEX KEY: 0001472122 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35525 FILM NUMBER: 201096415 MAIL ADDRESS: STREET 1: C/O MERRIMAN CURHAN FORD GROUP, INC. STREET 2: 600 CALIFORNIA STREET, 9TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94108 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: 5800 CORPORATE DRIVE CITY: PITTSBURGH STATE: PA ZIP: 15237 BUSINESS PHONE: 4128375300 MAIL ADDRESS: STREET 1: 5800 CORPORATE DRIVE CITY: PITTSBURGH STATE: PA ZIP: 15237 FORMER COMPANY: FORMER CONFORMED NAME: SMITH MICRO SOFTWARE, INC DATE OF NAME CHANGE: 20181023 FORMER COMPANY: FORMER CONFORMED NAME: SMITH MICRO SOFTWARE INC DATE OF NAME CHANGE: 19950731 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-08-10 0 0000948708 SMITH MICRO SOFTWARE, INC. SMSI 0001472122 Arno Andrew 5800 CORPORATE DR. PITTSBURGH PA 15237 1 0 0 0 Common Stock 2020-08-10 4 A 0 10000 3.946 A 212610 D Common Stock 2020-08-10 4 A 0 10000 3.945 A 10000 I By spouse IRA Common Stock 2020-08-10 4 A 0 2500 3.932 A 10000 I By MJA Investment Common Stock 2020-08-10 4 A 0 2500 3.943 A 10000 I By JBA Investment Shares were acquired in a series of transactions at a range of prices with a weighted average of $3.946 per share. The reporting person undertakes to provide to Smith Micro Software, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range. Shares were acquired in a series of transactions at a range of prices with a weighted average of $3.945 per share. The reporting person undertakes to provide to Smith Micro Software, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range. Shares were acquired in a series of transactions at a range of prices with a weighted average of $3.932 per share. The reporting person undertakes to provide to Smith Micro Software, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range. Includes 7,500 shares acquired on May 17, 2017 but not previously reported due to administrative error. Shares held by MJA Investment, a limited liability company, with respect to which the reporting person makes investment decisions. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is a beneficial owner of such securities for purposes of Section 16 or any other purpose. Shares were acquired in a series of transactions at a range of prices with a weighted average of $3.943 per share. The reporting person undertakes to provide to Smith Micro Software, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range. Shares held by JBA Investment, a limited liability company, with respect to which the reporting person makes investment decisions. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is a beneficial owner of such securities for purposes of Section 16 or any other purpose. /s/ Jennifer M. Reinke, Attorney in Fact for Andrew Arno 2020-08-12