0001564590-17-002128.txt : 20170223 0001564590-17-002128.hdr.sgml : 20170223 20170223112609 ACCESSION NUMBER: 0001564590-17-002128 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161028 ITEM INFORMATION: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers FILED AS OF DATE: 20170223 DATE AS OF CHANGE: 20170223 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-35525 FILM NUMBER: 17631303 BUSINESS ADDRESS: STREET 1: 51 COLUMBIA CITY: ALISO VIEJO STATE: CA ZIP: 92656 BUSINESS PHONE: 9493625800 MAIL ADDRESS: STREET 1: 51 COLUMBIA CITY: ALISO VIEJO STATE: CA ZIP: 92656 8-K 1 smsi-8k_20170222.htm 8-K CARPENTER AND FITZGERALD smsi-8k_20170222.htm

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): October 28, 2016

 

Smith Micro Software, Inc.

(Exact name of Registrant as Specified in Its Charter)

 

 

Delaware

01-35525

33-0029027

(State or Other Jurisdiction

of Incorporation)

(Commission File Number)

(IRS Employer

Identification No.)

 

 

 

51 Columbia

Aliso Viejo, CA

 

92656

(Address of Principal Executive Offices)

 

(Zip Code)

Registrant’s Telephone Number, Including Area Code: (949) 362-5800

Not Applicable

(Former Name or Former Address, if Changed Since Last Report)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instructions A.2. below):

☐

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 

 

 

Item 5.02          Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

On February 3, 2017, Rick Carpenter resigned as Senior Vice President of Engineering of Smith Micro Software, Inc. (the “Company”).  On that same date, Mr. Carpenter entered into a Resignation Severance and Release Agreement (the “Agreement”).  The Agreement provides that in exchange for helping with the transition of his responsibilities, Mr. Carpenter will be provided with benefits consisting of (i) a lump-sum payment of $9,815.38 (ii) accelerated vesting of 52,527 shares of restricted stock, and (iii) a consulting agreement for $6,000.00 per month for the months of February and March 2017.  

On October 28, 2016, Carla Fitzgerald resigned as Chief Marketing Officer of the Company to pursue other opportunities.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

 

 

Smith Micro Software, Inc.

 

 

 

 

Date:  February 23, 2017

 

By:

/s/ Steven M. Yasbek

 

 

 

Steven M. Yasbek

 

 

 

Vice President and Chief Financial Officer