Socket Mobile (SCKT) investor seeks note repayment, stake may fall below 5%

Rhea-AI Filing Summary

Socket Mobile, Inc. shareholder Enrico Kevin Mills reports beneficial ownership of 742,493 shares of common stock, or 8.6% of the 8,667,252 shares deemed outstanding under Rule 13d-3(d)(1). The position includes 265,784 shares held directly, 50,415 in custodial accounts for his minor children, and shares issuable upon conversion of 2024 and 2025 notes.

On August 6, 2026, Mills requested full repayment of the 2024 and 2025 notes, which remain convertible until repaid. If repaid in full, his beneficial ownership would fall to 316,199 shares, about 3.8% of outstanding common stock, below the 5% reporting threshold. His employment with Socket Mobile ended July 8, 2026, resulting in forfeiture of 20,605 unvested restricted shares. Mills plans to continue communicating with the board and management on governance, board composition, observer and information rights, strategy, and financing, and may acquire or dispose of additional securities or convert the notes depending on company and market conditions.

Key Figures

Beneficial ownership: 742,493 shares of Common Stock Ownership percentage: 8.6% Shares outstanding baseline: 8,240,958 shares +5 more

8 metrics

Beneficial ownership 742,493 shares of Common Stock Beneficially owned by Enrico Kevin Mills, including shares issuable upon conversion of the 2024 and 2025 Notes

Ownership percentage 8.6% Percentage of 8,667,252 shares of Common Stock deemed outstanding pursuant to Rule 13d-3(d)(1)

Shares outstanding baseline 8,240,958 shares Shares of Common Stock outstanding as of May 8, 2026, before adding shares issuable upon conversion of the Notes

Direct holdings 265,784 shares Shares of Common Stock held directly by Mills

Custodial account holdings 50,415 shares Shares of Common Stock held in custodial accounts for Mills’ minor children

2024 Note conversion shares 262,743 shares Shares of Common Stock issuable upon conversion of the 2024 Note

2025 Note conversion shares 163,551 shares Shares of Common Stock issuable upon conversion of the 2025 Note

Post-repayment holdings 316,199 shares Beneficial ownership if both notes are repaid in full, approximately 3.8% of outstanding Common Stock

Key Terms

beneficial owner, Rule 13d-3(d)(1), dispositive power, convertible into shares of Common Stock, +1 more

5 terms

beneficial owner financial

"The Reporting Person is the beneficial owner of 742,493 shares of Common Stock"

A beneficial owner is the person who ultimately owns or controls a financial asset or property, even if their name isn't directly on official documents. Think of it like someone who secretly holds the keys to a safe deposit box—others may appear to have access, but the true owner is the one who benefits from what's inside. Identifying beneficial owners helps ensure transparency and prevent illegal activities like money laundering or fraud.

Rule 13d-3(d)(1) regulatory

"shares of Common Stock deemed outstanding pursuant to Rule 13d-3(d)(1)"

dispositive power financial

"Sole Dispositive Power 742,493.00"

Dispositive power is the authority to decide the final outcome of an asset, legal claim, contract, or corporate action — in effect the power to dispose of or resolve something. For investors it matters because whoever holds that authority can determine who gets paid, who controls an asset or vote, and how risks and returns are allocated; think of it like holding the key that lets you lock in the winner or loser in a deal.

convertible into shares of Common Stock financial

"2024 Note and the 2025 Note described in Item 3, which are convertible into shares of Common Stock"

observer and information rights regulatory

"regarding, among other things, corporate governance, Board composition and processes, observer and information rights"

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 08/06/2026 - 02:41 PM Accepted by SEC EDGAR 08/06/2026 - 02:41 PM Learn about SEC filing dates

FAQ

What stake in Socket Mobile (SCKT) does Enrico Kevin Mills currently report?

Enrico Kevin Mills reports beneficial ownership of 742,493 SCKT shares, representing 8.6% of the 8,667,252 shares of common stock deemed outstanding under Rule 13d-3(d)(1), including shares issuable upon conversion of 2024 and 2025 notes.

How will repayment of the 2024 and 2025 Notes affect Mills’ SCKT ownership?

If the 2024 and 2025 Notes are repaid in full, Mills’ beneficial ownership would decrease to 316,199 shares, or approximately 3.8% of Socket Mobile’s outstanding common stock, causing him to cease beneficially owning more than five percent of the class.

What securities make up Mills’ Socket Mobile (SCKT) position?

Mills’ position comprises 265,784 shares held directly, 50,415 shares in custodial accounts for his minor children, up to 262,743 shares issuable from the 2024 Note, and up to 163,551 shares issuable from the 2025 Note, totaling 742,493 shares beneficially owned.

What recent changes occurred in Mills’ relationship with Socket Mobile (SCKT)?

Mills’ employment as General Manager, Applications, ended effective July 8, 2026, leading to forfeiture of 20,605 unvested restricted shares. A prior invitation to attend board meetings as an observer was withdrawn by independent directors on July 24, 2026.

What action did Mills take regarding Socket Mobile’s 2024 and 2025 Notes?

On August 6, 2026, Mills requested repayment of all outstanding principal and accrued interest on the 2024 and 2025 Notes. Under their terms, repayment is due within ten business days, and the notes remain convertible at his option until repaid.

What future steps does Mills say he may take with respect to his SCKT investment?

Mills indicates he may acquire or dispose of additional Socket Mobile securities, convert the notes in whole or in part, exercise rights as stockholder or noteholder, and discuss governance, board composition, information rights, strategy, and financing with the company’s board and management.

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13D

Under the Securities Exchange Act of 1934

(Amendment No. 1)

SOCKET MOBILE, INC.

(Name of Issuer)

Common Stock, $0.001 par value per share

(Title of Class of Securities)

83368E200

(CUSIP Number)

Enrico Kevin Mills
Room 1601, 16/F Wing On Centre, 111 Connaught Road Central
Central, K3, -
85230018846

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

08/06/2026

(Date of Event Which Requires Filing of This Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.

The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

schemaVersion:

SCHEDULE 13D

CUSIP Number(s): 83368E200

1

Name of reporting person

Mills Enrico Kevin

2

Check the appropriate box if a member of a Group (See Instructions)

(a)
(b)

3

SEC use only

4

Source of funds (See Instructions)

PF

5

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)

6

Citizenship or place of organization

SWITZERLAND

Number of Shares Beneficially Owned by Each Reporting Person With:

7	Sole Voting Power 742,493.00
8	Shared Voting Power 0.00
9	Sole Dispositive Power 742,493.00
10	Shared Dispositive Power 0.00

11

Aggregate amount beneficially owned by each reporting person

742,493.00

12

Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)

13

Percent of class represented by amount in Row (11)

8.6 %

14

Type of Reporting Person (See Instructions)

IN

Comment for Type of Reporting Person:

Consists of 265,784 shares held directly, 50,415 shares held in custodial accounts for the Reporting Person's minor children, 262,743 shares issuable upon conversion of the 2024 Note and 163,551 shares issuable upon conversion of the 2025 Note.

SCHEDULE 13D

Item 1.	Security and Issuer
(a)	Title of Class of Securities: Common Stock, $0.001 par value per share
(b)	Name of Issuer: SOCKET MOBILE, INC.
(c)	Address of Issuer's Principal Executive Offices: 40675 ENCYCLOPEDIA CIRCLE, FREMONT, CALIFORNIA , 94538-2475.
Item 2.	Identity and Background
(b)	The business address of the Reporting Person is Rm 1601, 16th Floor, Wing On Centre, 111 Connaught Road Central, Central, Hong Kong. Notices and communications should be directed to the Reporting Person at that address.
(c)	The Reporting Person's present principal occupation is individual investor, managing his own investments. The Reporting Person's employment with the Issuer as General Manager, Applications, ended effective July 8, 2026. The Reporting Person is no longer an employee of the Issuer.
Item 4.	Purpose of Transaction
	This Amendment No. 1 amends and supplements the Schedule 13D filed with the Securities and Exchange Commission on June 12, 2025 (the 'Original Schedule 13D'). Capitalized terms used but not defined herein have the meanings given in the Original Schedule 13D. Except as set forth herein, the disclosure in the Original Schedule 13D is unchanged. The Reporting Person originally acquired the securities of the Issuer described in this Schedule 13D for investment purposes. On April 3, 2026, the Chairman of the Board of Directors of the Issuer (the "Board"), writing on behalf of the Board with a copy to its members, invited the Reporting Person to attend each scheduled quarterly meeting of the Board as an observer. The Reporting Person attended the Board's April 29, 2026 meeting in that capacity. On July 24, 2026, the Chairman notified the Reporting Person in writing that the independent directors of the Board had decided to withdraw the invitation for the Reporting Person to attend future Board meetings as an observer. No reasons for the decision were stated. On August 6, 2026, the Reporting Person delivered to the Issuer a written request pursuant to Section 1(b) of each of the 2024 Note and the 2025 Note requiring the Issuer to repay all outstanding Principal of the Notes, together with all accrued and unpaid Interest thereon. Under the terms of the Notes, repayment is due no later than ten (10) business days following the Issuer's receipt of such request. The Notes remain convertible at the option of the Reporting Person until repayment; accordingly, the shares issuable upon conversion of the Notes remain included in the Reporting Person's beneficial ownership reported in Item 5. Upon repayment of the Notes in full, the Reporting Person's beneficial ownership will decrease to 316,199 shares of Common Stock, or approximately 3.8% of the outstanding Common Stock, and the Reporting Person will cease to beneficially own more than five percent of the Common Stock. The Reporting Person intends to engage in communications with the Board and management of the Issuer from time to time regarding, among other things, corporate governance, Board composition and processes, observer and information rights, the Issuer's business, strategy and financing activities (including participation rights in future note financings), and other matters concerning the Reporting Person's investment in the Issuer. Depending upon various factors, including the Issuer's financial position, results and strategic direction, actions taken by the Board, price levels of the Issuer's securities, other investment opportunities, and general market and economic conditions, the Reporting Person may in the future take such actions with respect to his investment in the Issuer as he deems appropriate, including acquiring additional securities of the Issuer, disposing of securities of the Issuer, converting the Notes in whole or in part, exercising rights available to him as a stockholder or noteholder, proposing changes with respect to matters described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, or changing his intention with respect to any or all of the foregoing. Except as set forth in this Item 4, the Reporting Person has no present plan or proposal that relates to or would result in any of the matters described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.
Item 5.	Interest in Securities of the Issuer
(a)	The Reporting Person is the beneficial owner of 742,493 shares of Common Stock, consisting of (i) 265,784 shares of Common Stock held directly, (ii) 50,415 shares of Common Stock held in custodial accounts for his minor children, (iii) up to 262,743 shares of Common Stock issuable upon conversion of the 2024 Note, and (iv) up to 163,551 shares of Common Stock issuable upon conversion of the 2025 Note. Such shares represent approximately 8.6% of the 8,667,252 shares of Common Stock deemed outstanding pursuant to Rule 13d-3(d)(1), based on 8,240,958 shares of Common Stock outstanding as of May 8, 2026, as reported on the cover page of the Issuer's Quarterly Report on Form 10-Q for the quarter ended March 31, 2026, plus the 426,294 shares issuable upon conversion of the Notes.
(c)	On July 8, 2026, in connection with the termination of the Reporting Person's employment with the Issuer, 20,605 unvested restricted shares of Common Stock previously awarded to the Reporting Person were forfeited. Other than the foregoing, the Reporting Person has not effected any transactions in the Common Stock during the past sixty days.
Item 6.	Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer
	The Reporting Person holds the 2024 Note and the 2025 Note described in Item 3, which are convertible into shares of Common Stock as described therein. The descriptions in Item 3 are incorporated by reference into this Item 6. The description in Item 4 of the Board observer invitation extended to the Reporting Person on April 3, 2026, the Reporting Person's attendance at the April 29, 2026 Board meeting in that capacity, and the withdrawal of that invitation is incorporated by reference into this Item 6. Except as described in this Schedule 13D, the Reporting Person has no contracts, arrangements, understandings or relationships (legal or otherwise) with any person with respect to any securities of the Issuer.
Item 7.	Material to be Filed as Exhibits.
	No exhibits are filed with this Amendment. The exhibits to the Original Schedule 13D (the 2024 Note and 2025 Note purchase documents) remain on file.

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Mills Enrico Kevin

Signature:	/s/ Enrico Kevin Mills
Name/Title:	Enrico Kevin Mills, Investor
Date:	08/06/2026