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Smith Micro (SMSI) finance chief acquires convertible note and warrant

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

Rhea-AI Filing Summary

SMITH MICRO SOFTWARE, INC. executive Timothy C. Huffmyer, the VP, COO, CFO and Treasurer, acquired a secured convertible note and a common stock purchase warrant on March 6, 2026 for an aggregate purchase price of $90,970.45.

The warrant is exercisable into 174,944 shares of common stock at $0.68 per share and expires on September 6, 2031. The secured convertible note is convertible, assuming full original principal conversion, into 133,781 shares of common stock at the same $0.68 conversion price and expires on March 31, 2029. These derivative positions were acquired directly and there are no remaining derivative holdings disclosed beyond these grants.

Positive

  • None.

Negative

  • None.
Insider Huffmyer Timothy C.
Role VP, COO, CFO and Treasurer
Type Security Shares Price Value
Grant/Award Common stock purchase warrant 174,944 $0.00 $0.00
Grant/Award Secured convertible note 0 $0.00 $0.00
Holdings After Transaction: Common stock purchase warrant — 174,944 shares (Direct); Secured convertible note — 0 shares (Direct)
Footnotes (3)
  1. F1. Pursuant to a Securities Purchase Agreement, dated March 4, 2026, between Smith Micro Software, Inc. and the Buyer parties thereto, the Reporting Person agreed to purchase a secured convertible note together with a warrant for an aggregate purchase price of $90,970.45. The purchase was completed and the securities were issued on March 6, 2026.
  2. F2. Assumes conversion of the full original principal amount of the secured convertible note into shares of common stock.
  3. F3. Original principal amount of the secured convertible note (in dollars).

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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)
03/06/2026
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
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
Common stock purchase warrant $0.68 03/06/2026 A 174,944 09/06/2026 09/06/2031 Common stock 174,944 (1) 174,944 D
Secured convertible note $0.68 03/06/2026 A $90,970.45(3) 09/06/2026 03/31/2029 Common stock 133,781(2) (1) $90,970.45 D
Explanation of Responses:
1. Pursuant to a Securities Purchase Agreement, dated March 4, 2026, between Smith Micro Software, Inc. and the Buyer parties thereto, the Reporting Person agreed to purchase a secured convertible note together with a warrant for an aggregate purchase price of $90,970.45. The purchase was completed and the securities were issued on March 6, 2026.
2. Assumes conversion of the full original principal amount of the secured convertible note into shares of common stock.
3. Original principal amount of the secured convertible note (in dollars).
/s/ Jennifer M. Reinke as attorney-in-fact for Timothy C. Huffmyer 03/10/2026
** 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.

Source: View Original Filing on SEC EDGAR