Welcome to our dedicated page for Smith Micro Software SEC filings (Ticker: SMSI), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Smith Micro Software, Inc. (SMSI) SEC filings page on Stock Titan provides access to the company’s regulatory disclosures, along with AI-powered summaries that help explain key points for investors. Smith Micro is a wireless-focused software publisher whose public reports describe its Digital Family Lifestyle™ offerings, SafePath® platform, and related Wireless segment activities.
Through this page, you can review annual reports on Form 10-K and quarterly reports on Form 10-Q, where Smith Micro discusses its Wireless segment, revenue sources, operating expenses, net income or loss, non-GAAP measures, and risk factors. These filings also describe trends in digital lifestyle services, customer concentration, reliance on wireless service providers, and the impact of cost reduction efforts.
Investors can also track current reports on Form 8-K, which Smith Micro uses to disclose material events such as financing transactions, receipt of a Nasdaq minimum bid price notice, cost reduction initiatives, leadership changes, and the sale of assets like the ViewSpot product. Recent 8-K filings have detailed registered offerings, private placements, secured note agreements, and related warrant issuances, as well as the terms and intended use of proceeds.
For those monitoring ownership and compensation topics, this page links to proxy statements on Form DEF 14A, which cover matters submitted to stockholders, including proposals related to Nasdaq listing rule 5635(d) and adjournment approvals. When available, Form 4 insider transaction reports can be used to analyze trading activity by Smith Micro officers, directors, and significant shareholders.
Stock Titan’s interface combines real-time updates from EDGAR with AI-generated highlights, helping users quickly identify important sections in lengthy documents. Whether you are examining SMSI’s capital structure, warrant and note terms, Nasdaq compliance disclosures, or segment discussion in its 10-K and 10-Q filings, this page centralizes the regulatory information needed for deeper analysis.
Smith Micro Software (SMSI) reported an insider purchase by President, CEO, Director, and 10% Owner William W. Smith Jr. (via Smith Living Trust). The trust acquired 2,236,136 shares of common stock at $0.6708 per share on 11/07/2025 and received a warrant to purchase an equal number of shares.
The warrant becomes exercisable upon the date it is approved by the company’s stockholders in accordance with applicable Nasdaq rules and will expire five years after that approval date. Following the transaction, beneficial holdings were 5,592,968 shares indirect (Smith Living Trust) and 294,062 shares direct, with 2,236,136 warrants indirect.
Smith Micro Software entered financing agreements to raise equity. The company completed a registered direct sale of 1,714,373 shares of common stock at $0.6708 per share, generating approximately $1.15 million in gross proceeds. In a concurrent private placement with its Chief Executive Officer, the company sold 2,236,136 unregistered shares at $0.6708 per share for approximately $1.5 million in gross proceeds.
Both transactions included five-year warrants: investors received warrants to purchase up to 1,714,373 shares at $0.6708 per share, exercisable beginning six months after issuance, and the CEO received warrants to purchase up to 2,236,136 shares at $0.6708 per share, exercisable following stockholder approval. The company plans to use net proceeds for working capital and general corporate purposes, with closing on or about November 6, 2025.
The company agreed to file a resale registration within 60 days and seek effectiveness within 120 days. It also agreed to a 30‑day issuance and filing pause and a three‑month restriction on Variable Rate Transactions. The placement agent will receive a 6.0% cash fee and up to $125,000 in expenses.
Smith Micro Software, Inc. (SMSI) is offering 1,714,373 shares of common stock at $0.6708 per share in a registered direct offering. The company expects gross proceeds of $1,150,001.41 and estimates net proceeds of approximately $0.9 million after expenses, to be used for general corporate purposes and working capital. Roth Capital Partners is acting as placement agent, with a $45,000 fee. Delivery of shares is expected on or about November 6, 2025.
In a concurrent private placement, the company will issue unregistered Warrants to purchase up to 1,714,373 shares at an exercise price of $0.6708 per share, exercisable after six months and expiring five and one‑half years from issuance; the company agreed to file a resale registration statement for the Warrant Shares. Shares outstanding immediately after this offering are expected to be 23,300,085, assuming no November Private Placement closing and no warrant exercises.
Smith Micro Software (SMSI) reported Q3 2025 results showing revenue of $4.347 million, down slightly from $4.648 million a year ago. The quarter’s operating loss narrowed to $4.485 million from $6.507 million, and net loss was $4.535 million versus $6.369 million. For the nine months, net loss was $24.774 million compared with $44.306 million last year, reflecting prior-period goodwill impairments and ongoing cost actions.
Liquidity remains tight. Cash and cash equivalents were $1.394 million, with net cash used in operations of $5.007 million for the nine months. Management disclosed “substantial doubt” about the company’s ability to continue as a going concern, citing recurring losses and negative cash flows, while outlining cost reductions and potential capital raises.
During the quarter, the company closed a July 2025 registered direct offering of 1,612,903 shares at $0.93 and issued warrants with full‑ratchet features, and raised approximately $1.2 million through September 2025 secured notes bearing 15.0% interest, each with accompanying warrants. A deemed dividend of $0.635 million was recorded due to warrant repricing. Shares outstanding were 21,585,712 as of November 3, 2025.
Smith Micro Software (SMSI) furnished a press release announcing its financial results for the three and nine months ended September 30, 2025. The press release is provided as Exhibit 99.1.
Consistent with General Instruction B.2, the information under Item 2.02 (and incorporated into Item 7.01) is furnished, not filed, and therefore is not subject to Section 18 liability nor automatically incorporated into Securities Act filings.
Smith Micro Software (SMSI) reported a director equity award on Form 4. Director Gregory J. Szabo received 7,993 shares of common stock on 10/09/2025 as an unrestricted stock award in lieu of fourth quarter 2025 cash compensation for non-employee director service. The shares were granted at a reported price of $0. Following this transaction, Szabo beneficially owns 60,993 shares, held directly.
Smith Micro Software (SMSI) director Asha Keddy acquired 7,993 shares of common stock on 10/09/2025. The shares were granted at $0 as an unrestricted stock award in lieu of fourth quarter 2025 cash compensation for service as a non-employee director.
Following the award, Keddy beneficially owns 42,129 shares, held directly.
Smith Micro Software (SMSI) director Samuel Gulko reported an equity grant on a Form 4. On 10/09/2025, he acquired 7,993 shares of common stock at $0 as an unrestricted stock award granted in lieu of fourth quarter 2025 cash compensation for service as a non-employee director.
Following this transaction, his directly held position totals 57,774 shares. The filing indicates this was a single-person filing and confirms his role as a director.
Smith Micro Software (SMSI) reported a routine insider transaction. Director Steven L. Elfman acquired 7,993 shares of common stock on 10/09/2025 at $0 per share. Following the grant, he beneficially owns 56,587 shares, held directly.
The filing notes this was an unrestricted stock award granted in lieu of fourth quarter 2025 cash compensation for service as a non-employee director.
Smith Micro Software (SMSI) director Thomas G. Campbell reported acquiring 7,993 shares of common stock at $0 on 10/09/2025.
The filing states this was an unrestricted stock award granted in lieu of fourth quarter 2025 cash compensation for service as a non-employee director. After the award, Campbell beneficially owns 37,206 shares, held directly.