Smith Micro insider has 456 shares withheld for taxes

Executive Chairman William W. Smith Jr. had shares withheld to cover taxes on vesting, with substantial direct and trust holdings remaining.

Available on EDGAR 09/15/2026 - 05:07 PM EDT Accepted by SEC EDGAR 09/15/2026 - 05:06 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

SMITH MICRO SOFTWARE, INC. (SMSI) reported that Executive Chairman and ten percent owner William W. Smith Jr. had 456 shares of common stock withheld on September 15, 2026 to pay income taxes related to vesting, at an average price of $2.90 per share. Following this tax-withholding event, he held 57,285 shares directly and 1,103,535 shares indirectly through the Smith Living Trust.

Insider Trade Summary

Tax Withholding: 456 shares

Tax Withholding 1 txn

Insider SMITH WILLIAM W JR

Role Executive Chairman

Type	Security	Shares	Price	Value
Tax Withholding	Common stock F1	456	$2.90	$1K
Holding	Common stock	--	--	--

Holdings After Transaction: Common stock — 57,285 shares (Direct); Common stock — 1,103,535 shares (Indirect, Smith Living Trust)

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: 456 shares Average vesting price: $2.90 per share Direct holdings after transaction: 57,285 shares +1 more

4 metrics

Shares withheld for taxes 456 shares Common stock withheld September 15, 2026 to pay income taxes on vesting

Average vesting price $2.90 per share Average price used for tax-withholding shares on September 15, 2026

Direct holdings after transaction 57,285 shares Common stock held directly by William W. Smith Jr. after tax withholding

Indirect holdings (Smith Living Trust) 1,103,535 shares Common stock held indirectly through the Smith Living Trust as of September 15, 2026

Key Terms

Payment of tax liability by delivering or withholding securities, indirect, withheld

3 terms

Payment of tax liability by delivering or withholding securities financial

"The transaction is described as payment of tax liability by delivering or withholding securities"

indirect financial

"Shares are reported as held indirectly through the Smith Living Trust"

withheld financial

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

FAQ

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

What insider transaction did SMSI report for William W. Smith Jr. on September 15, 2026?

SMSI reported that 456 common shares were withheld from William W. Smith Jr. on September 15, 2026 for the payment of income taxes related to vesting, at an average price of $2.90 per share.

How many SMSI shares does William W. Smith Jr. hold directly after this Form 4?

After the reported tax-withholding event, William W. Smith Jr. holds 57,285 SMSI common shares directly, according to the Form 4.

What are the indirect SMSI holdings of William W. Smith Jr. reported on this Form 4?

The Form 4 lists 1,103,535 SMSI common shares held indirectly by William W. Smith Jr. through the Smith Living Trust as of September 15, 2026.

Was the SMSI insider transaction made under a Rule 10b5-1 trading plan?

No. The filing indicates that no Rule 10b5-1 trading plan is reported for the September 15, 2026 tax-withholding transaction.

Does the SMSI Form 4 report an open-market sale by William W. Smith Jr.?

No. The Form 4 describes shares withheld to pay income taxes upon vesting, not an open-market purchase or sale. The transaction is coded as a payment of tax liability by delivering or withholding securities.

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^*

SMITH WILLIAM W JR

(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	X	10% Owner
X	Officer (give title below)		Other (specify below)
	Executive Chairman

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		456	D	$2.9(1)	57,285	D
Common stock								1,103,535	I	Smith Living Trust

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 William W. Smith, Jr.	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)