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SMSI Form 4: 7,993-share director award, 75,507 direct owned

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Smith Micro Software (SMSI) reported an insider transaction by a director. On 10/09/2025, the director acquired 7,993 shares of common stock as an unrestricted stock award, granted in lieu of fourth quarter 2025 cash compensation for service as a non-employee director.

Following this award, the reporting person beneficially owns 75,507 shares directly. The filing also lists 1,875 shares held via a spouse’s IRA and 1,875 shares each held by MJA Investment and JBA Investment.

Positive

  • None.

Negative

  • None.
Insider Arno Andrew
Role Director
Type Security Shares Price Value
Grant/Award Common Stock 7,993 $0.00 --
holding Common Stock -- -- --
holding Common Stock -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 75,507 shares (Direct); Common Stock — 1,875 shares (Indirect, By spouse IRA)
Footnotes (1)
  1. Unrestricted stock award granted in lieu of fourth quarter 2025 cash compensation for service as a non-employee director. Shares held by MJA Investment, a limited liability company, with respect to which the reporting person makes investment decisions. The reporting person disclaims ownership of these securities, and this report shall not be deemed an admission that the reporting person is beneficial owner of these securities for the purpose of Section 16 or any other purpose. Shares held by JBA Investment, a limited liability company, with respect to which the reporting person makes investment decisions. The reporting person disclaims ownership of these securities, and this report shall not be deemed an admission that the reporting person is beneficial owner of these securities for the purpose of Section 16 or any other purpose.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Arno Andrew
(Last) (First) (Middle)
5800 CORPORATE DRIVE
(Street)
PITTSBURGH PA 15237
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
SMITH MICRO SOFTWARE, INC. [ SMSI ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
10/09/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 10/09/2025 A 7,993(1) A $0 75,507 D
Common Stock 1,875 I By spouse IRA
Common Stock 1,875 I By MJA Investment(2)
Common Stock 1,875 I By JBA Investment(3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Unrestricted stock award granted in lieu of fourth quarter 2025 cash compensation for service as a non-employee director.
2. Shares held by MJA Investment, a limited liability company, with respect to which the reporting person makes investment decisions. The reporting person disclaims ownership of these securities, and this report shall not be deemed an admission that the reporting person is beneficial owner of these securities for the purpose of Section 16 or any other purpose.
3. Shares held by JBA Investment, a limited liability company, with respect to which the reporting person makes investment decisions. The reporting person disclaims ownership of these securities, and this report shall not be deemed an admission that the reporting person is beneficial owner of these securities for the purpose of Section 16 or any other purpose.
/s/ Jennifer M. Reinke as attorney-in-fact for Andrew Arno 10/29/2025
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR

FAQ

What did SMSI's Form 4 disclose?

A director acquired 7,993 shares of Smith Micro common stock as an unrestricted stock award on 10/09/2025.

Why were the 7,993 shares granted to the SMSI director?

They were granted in lieu of fourth quarter 2025 cash compensation for service as a non-employee director.

What is the director’s direct ownership after the transaction (SMSI)?

Direct beneficial ownership is 75,507 shares after the reported transaction.

What was the transaction price for the awarded shares (SMSI)?

The transaction price was reported as $0, reflecting an unrestricted stock award.

Were any indirect holdings disclosed for the reporting person (SMSI)?

Yes. The filing lists 1,875 shares via a spouse’s IRA and 1,875 shares each held by MJA Investment and JBA Investment.

What was the SEC transaction code used in the SMSI Form 4?

The transaction code was A, indicating an award or grant of securities.