Smith Micro CEO has 100 shares withheld for tax

Smith Micro’s President and CEO had 100 vested SMSI shares withheld at $2.90 to cover taxes, leaving him with 36,279 directly held shares.

Available on EDGAR 09/15/2026 - 05:08 PM EDT Accepted by SEC EDGAR 09/15/2026 - 05:07 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

SMITH MICRO SOFTWARE, INC. (SMSI) reported that President and CEO, and director, Timothy C. Huffmyer had 100 shares of common stock withheld on September 15, 2026 to satisfy income tax obligations upon vesting at an average price of $2.90 per share.

After this tax-withholding disposition, Huffmyer holds 36,279 shares of SMSI common stock directly. No Rule 10b5-1 trading plan is indicated for this transaction.

Insider Trade Summary

Tax Withholding: 100 shares

Tax Withholding 1 txn

Insider Huffmyer Timothy C.

Role President and CEO

Type	Security	Shares	Price	Value
Tax Withholding	Common stock F1	100	$2.90	$290.00

Holdings After Transaction: Common stock — 36,279 shares (Direct)

Footnotes (1)

1. F1. Shares withheld, at an average vesting price of $2.90 per share, for the payment of income taxes.

Key Figures

Shares withheld for taxes: 100 shares Average vesting price: $2.90 per share Shares held after transaction: 36,279 shares +1 more

4 metrics

Shares withheld for taxes 100 shares Common stock withheld on September 15, 2026 for income tax payment

Average vesting price $2.90 per share Average vesting price used for tax-withholding of 100 shares

Shares held after transaction 36,279 shares Directly held SMSI common stock by Timothy C. Huffmyer after tax withholding

Exercise price or tax-liability shares count 100 shares Total shares used for payment of income tax liability in this filing

Key Terms

Payment of tax liability, withheld, vesting price, income taxes

4 terms

Payment of tax liability financial

"described as Payment of tax liability by delivering or withholding securities"

withheld financial

"Shares withheld, at an average vesting price of $2.90 per share"

vesting price financial

"at an average vesting price of $2.90 per share, for the payment"

income taxes financial

"at an average vesting price of $2.90 per share, for the payment of income taxes"

Income taxes are charges levied by governments on the earnings of individuals and companies, effectively taking a portion of profits or wages much like a recurring bill or toll on money coming in. They matter to investors because higher taxes reduce the cash a company can keep, pay out as dividends or reinvest for growth, and therefore directly affect profitability, valuation and future returns.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did SMSI President and CEO Timothy C. Huffmyer report on this Form 4?

He reported that 100 shares of SMSI common stock were withheld on September 15, 2026 to pay income taxes due upon vesting, at an average price of $2.90 per share. The transaction is categorized as a payment of tax liability using shares.

How many SMSI shares does Timothy C. Huffmyer hold after this transaction?

Following the tax-withholding transaction, Timothy C. Huffmyer directly holds 36,279 shares of SMITH MICRO SOFTWARE, INC. common stock. This figure reflects his position after 100 shares were withheld for income tax payments on vested stock.

Was this SMSI Form 4 transaction a market sale or a tax withholding?

The Form 4 describes the transaction as a payment of tax liability by delivering or withholding securities. A footnote clarifies that shares were withheld at an average vesting price of $2.90 per share to pay income taxes, rather than being sold in the open market.

What price is associated with the SMSI shares withheld for taxes on this Form 4?

The 100 shares of SMSI common stock withheld for income taxes are reported at an average vesting price of $2.90 per share. This price comes from the footnote stating the shares were withheld at that average vesting price to satisfy tax obligations.

Does this SMSI Form 4 indicate a Rule 10b5-1 trading plan?

The filing’s Rule 10b5-1 checkbox is not affirmed, and there is no footnote stating that the transaction occurred under a Rule 10b5-1 trading plan. The reported event is a tax-withholding disposition related to vested stock.

What is the transaction type reported for SMSI on September 15, 2026?

The transaction is coded as F, described as Payment of tax liability by delivering or withholding securities. It involves 100 shares of SMSI common stock withheld at an average vesting price of $2.90 per share to pay income taxes.

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

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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^*

Huffmyer Timothy C.

(Last) (First) (Middle)

5800 CORPORATE DRIVE

(Street)

PITTSBURGH PENNSYLVANIA 15237

(City) (State) (Zip)

UNITED STATES

(Country)

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
X	Officer (give title below)		Other (specify below)
	President and CEO

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/15/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

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	09/15/2026		F		100	D	$2.9(1)	36,279	D

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. Shares withheld, at an average vesting price of $2.90 per share, for the payment of income taxes.

	/s/ Jennifer M. Reinke as attorney-in-fact for Timothy C. Huffmyer	09/15/2026
	** 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.
* Form 4: SEC 1474 (03-26)