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.
Smith Micro Software, Inc. filings document the regulatory record for a mobile software company serving wireless service providers through SafePath family digital lifestyle solutions, SafePath OS deployments, and voice messaging capabilities. Periodic and current reports cover operating and financial results, product-related business context, and material-event disclosures.
SMSI filings also cover capital structure and financing activity, including resale registration statements for common stock underlying previously issued warrants and convertible notes, registered direct offerings, private placement warrants, and secured promissory notes. Proxy and 8-K filings document governance matters, equity compensation disclosures, security-holder votes, Nasdaq share-issuance approvals, and related material agreements.
Smith Micro Software President and CEO William W. Smith Jr. reported a routine tax-related share withholding. On March 13, 2026, 4,943 shares of common stock were withheld at an average vesting price of $0.846 per share to cover income taxes. After this disposition, he directly holds 296,756 common shares, and indirectly holds 5,517,674 common shares through the Smith Living Trust.
SMITH MICRO SOFTWARE executive Timothy C. Huffmyer, who serves as VP, COO, CFO and Treasurer, reported a routine tax-related share disposition. On this Form 4, 1,788 shares of common stock were withheld at an average vesting price of $0.846 per share to cover income taxes on vested equity. After this withholding, Huffmyer directly holds 184,567 shares of common stock, so the transaction represents a small, non‑market adjustment to his position rather than an open‑market sale.
SMITH MICRO SOFTWARE director Chetan Sharma received a grant of stock options as compensation. He was awarded options to buy 12,500 shares of common stock at an exercise price of $0.6862 per share, exercisable beginning on March 9, 2027 and expiring on March 9, 2036. Following this grant, he holds 12,500 derivative securities directly.
SZABO GREGORY J reported acquisition or exercise transactions in this Form 4 filing.
SMITH MICRO SOFTWARE director Gregory J. Szabo received a grant of 12,500 shares of common stock. The shares were awarded at a stated price of $0.00 per share as an unrestricted stock award under the Company’s Amended and Restated Omnibus Equity Incentive Plan. Following this equity grant, Szabo directly holds 73,493 shares of SMITH MICRO SOFTWARE common stock.
Keddy Asha reported acquisition or exercise transactions in this Form 4 filing.
SMITH MICRO SOFTWARE, INC. director Asha Keddy received an award of 12,500 shares of common stock as compensation. The filing describes this as an unrestricted stock award granted under the company’s Amended and Restated Omnibus Equity Incentive Plan. Following the grant, Keddy directly holds 54,629 shares of common stock.
gulko samuel reported acquisition or exercise transactions in this Form 4 filing.
SMITH MICRO SOFTWARE, INC. director Samuel Gulko received a grant of 12,500 shares of common stock on March 9, 2026. The award was issued at no cash cost as unrestricted stock under the Company’s Amended and Restated Omnibus Equity Incentive Plan, bringing his direct holdings to 70,274 shares.
Elfman Steven Lawrence reported acquisition or exercise transactions in this Form 4 filing.
SMITH MICRO SOFTWARE, INC. director Steven Lawrence Elfman reported receiving a grant of 12,500 shares of common stock on March 9, 2026. The award was an unrestricted stock grant made under the company's Amended and Restated Omnibus Equity Incentive Plan, with a reported grant price of $0.00 per share.
After this equity award, Elfman directly holds 69,087 shares of Smith Micro common stock. This is a compensation-related stock grant rather than an open-market purchase, so it does not reflect a discretionary buy of shares in the market.
SMITH MICRO SOFTWARE director Thomas G. Campbell received 12,500 shares of common stock as an unrestricted stock award. The shares were granted under the company's Amended and Restated Omnibus Equity Incentive Plan at no purchase price. Following this equity award, Campbell directly holds 49,706 shares of SMITH MICRO SOFTWARE common stock. This is a compensation-related acquisition rather than an open-market purchase.
Arno Andrew reported acquisition or exercise transactions in this Form 4 filing.
SMITH MICRO SOFTWARE director Andrew Arno reported receiving an unrestricted stock award of 12,500 shares of Common Stock at $0.00 per share. The grant was made under the company’s Amended and Restated Omnibus Equity Incentive Plan and increased his direct holdings to 88,007 shares.
The filing also shows indirect holdings of 1,875 shares in a spouse IRA and 1,875 shares each held by MJA Investment and JBA Investment, entities for which Arno makes investment decisions. He disclaims beneficial ownership of the MJA and JBA Investment shares.
SMITH MICRO SOFTWARE, INC. President and CEO William W. Smith Jr., through the Smith Living Trust, reported acquiring derivative securities tied to the company’s common stock. The trust received a common stock purchase warrant covering 8,818,254 shares at a conversion price of $0.6800 per share, exercisable from September 10, 2026 until September 10, 2031. It also acquired a secured convertible note, convertible at $0.6800 per share into 6,743,371 common shares, with an expiration date of March 31, 2029. According to the securities purchase agreement, the trust agreed to purchase the note and warrant for an aggregate price of $4,585,491.93, and the securities were issued on March 10, 2026. These are acquisitions, with no shares sold in this filing.