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  4. [Form 4] SMITH MICRO SOFTWARE, INC. Insider Trading Activity

Smith Micro CFO reports tax withholding and RS forfeiture

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

Rhea-AI Filing Summary

Smith Micro Software (SMSI) reported insider equity activity by VP, COO, CFO and Treasurer Timothy C. Huffmyer on a Form 4. The filing shows routine share movements tied to vesting and grant terms.

On 11/11/2025, 294 shares of common stock were withheld at an average vesting price of $0.7752 for tax withholding, and 9,676 shares of restricted stock were disposed at $0 due to forfeiture under the grant’s terms. On 11/12/2025, 19,143 shares were withheld at an average vesting price of $0.6845 for tax withholding. Following these transactions, directly held shares moved from 179,581 to 169,905 and then to 150,762.

Positive

  • None.

Negative

  • None.
Insider Huffmyer Timothy C.
Role VP, COO, CFO and Treasurer
Type Security Shares Price Value
Tax Withholding Common Stock 19,143 $0.6845 $13K
Tax Withholding Common Stock 294 $0.7752 $227.91
Disposition Common Stock 9,676 $0.00 --
Holdings After Transaction: Common Stock — 150,762 shares (Direct)
Footnotes (1)
  1. Shares withheld, at an average vesting price of $0.7752 per share, for the payment of income taxes. Shares of restricted stock forfeited in accordance with the terms of grant. Shares withheld, at an average vesting price of $0.6845 per share, for the payment of income taxes.
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*
Huffmyer Timothy C.
(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)
Director 10% Owner
X Officer (give title below) Other (specify below)
VP, COO, CFO and Treasurer
3. Date of Earliest Transaction (Month/Day/Year)
11/11/2025
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 11/11/2025 F 294 D $0.7752(1) 179,581 D
Common Stock 11/11/2025 D 9,676(2) D $0 169,905 D
Common Stock 11/12/2025 F 19,143 D $0.6845(3) 150,762 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 $0.7752 per share, for the payment of income taxes.
2. Shares of restricted stock forfeited in accordance with the terms of grant.
3. Shares withheld, at an average vesting price of $0.6845 per share, for the payment of income taxes.
/s/ Jennifer M. Reinke as attorney-in-fact for Timothy C. Huffmyer 11/13/2025
** 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 about insider transactions?

It reported tax-withholding share dispositions and a restricted stock forfeiture by Timothy C. Huffmyer on 11/11/2025 and 11/12/2025.

How many SMSI shares were withheld for taxes?

294 shares at an average vesting price of $0.7752 on 11/11/2025 and 19,143 shares at an average vesting price of $0.6845 on 11/12/2025.

How many SMSI shares were forfeited?

The filing shows a 9,676-share restricted stock forfeiture on 11/11/2025 in accordance with the terms of grant.

What was the insider’s ownership after these transactions?

Direct holdings stepped from 179,581 to 169,905 and then to 150,762 shares following the reported transactions.

Who is the reporting person for SMSI in this Form 4?

Timothy C. Huffmyer, listed as VP, COO, CFO and Treasurer.

Were these open-market sales?

No. The filing states shares were withheld for tax payments upon vesting and that restricted shares were forfeited per grant terms.