0001564590-19-039414.txt : 20191101 0001564590-19-039414.hdr.sgml : 20191101 20191101160521 ACCESSION NUMBER: 0001564590-19-039414 CONFORMED SUBMISSION TYPE: 424B3 PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20191101 DATE AS OF CHANGE: 20191101 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: 424B3 SEC ACT: 1933 Act SEC FILE NUMBER: 333-213778 FILM NUMBER: 191186855 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 424B3 1 smsi-424b3.htm 424B3 PROSPECTUS SUPPLEMENT (UNTERBERG) smsi-424b3.htm

Filed pursuant to Rule 424(b)(3)

Registration No. 333-213778

PROSPECTUS SUPPLEMENT
(To the Prospectus dated October 14, 2016)

 

 

 

1,700,000 Warrants to Purchase Shares of Common Stock

2,500,000 Shares of Common Stock

This Prospectus Supplement supplements the prospectus dated October 14, 2016 (the "Prospectus") relating to the sale or other disposition by the selling securityholders identified therein of shares of Common Stock of Smith Micro Software, Inc. and warrants to purchase shares of Common Stock of Smith Micro Software, Inc.

This Prospectus Supplement is incorporated by reference into, and should be read in conjunction with, the Prospectus.

INVESTING IN OUR COMMON STOCK INVOLVES A HIGH DEGREE OF RISK. YOU SHOULD CAREFULLY CONSIDER THE RISK FACTORS BEGINNING ON PAGE 3 OF THE PROSPECTUS.

Shares of our common stock are listed on the NASDAQ Capital Market under the symbol “SMSI.”

This Prospectus Supplement is filed solely for the purposes of reflecting changes in holdings of existing selling securityholders under the Prospectus.  As of November 1, 2019, the Selling Securityholder table included under the Section "SELLING SECURITYHOLDERS", which begins on page 19 in the Prospectus, is revised to amend the information with respect to the following selling securityholders:

 

 

Name of Selling Securityholder(1)

 

Common

Stock

Beneficially

Owned Prior

to Offering

 

 

Maximum

Number of

Shares of

Common

Stock to be

Sold

 

 

Common

Stock

Beneficially

Owned After

Offering

 

 

Beneficial

Ownership

Prior to

Offering

 

 

Beneficial

Ownership

After

Offering

 

Unterberg Koller Capital Fund, L.P.

 

 

0(3)

 

 

 

0(3)

 

 

 

0

 

 

---

%

 

---

%

Unterberg Taylor Liquidation LLC (2)

 

 

850,000(3)

 

 

 

850,000(3)

 

 

 

0

 

 

2.16

%

 

---

 

_______________

(1)

Information regarding the selling securityholders may change from time to time. Any such changed information will be set forth in amendments or supplements if and when necessary.  This table and the information in the notes below are based upon information supplied by the selling securityholder and upon 38,502,511 shares of common stock outstanding as of October 30, 2019.

(2)

Thomas I. Unterberg has voting and dispositive power over the shares held by the selling securityholder. The address of the selling securityholder is 100 West River Road, Rumson, NJ  07760.

(3)

Represents 850,000 Warrant Shares.  Reflects the ultimate transfer by Unterberg Koller Capital Fund, L.P. of Warrants to purchase 850,000 Warrant Shares to Unterberg Taylor Liquidation LLC.

Neither the Securities and Exchange Commission nor any state securities commission has approved or disapproved of these securities or determined if this prospectus is truthful or complete. Any representation to the contrary is a criminal offense.

 

The date of this prospectus is November 1, 2019

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