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, Inc. entered into inducement letter agreements with certain holders of existing common stock warrants to prompt immediate cash exercise. These warrants cover 487,349 shares of common stock and previously carried a $5.20 per share exercise price.
Under the new terms, the holders agreed to exercise their existing warrants for cash at a reduced exercise price of $3.35 per share. In return, the company will issue new unregistered common stock warrants for up to 487,349 additional shares at an exercise price of $3.80 per share, exercisable immediately for five years.
The transaction generated aggregate gross proceeds of approximately $1.6 million for the company, before expenses, which are expected to be used for working capital and general corporate purposes. Smith Micro plans to file a Form S-1 to register the resale of the shares issuable upon exercise of the new warrants, and expects the inducement transaction to close around June 15, 2026, subject to customary conditions.
William W. Smith, Jr., Executive Chairman of Smith Micro Software, Inc., filed Amendment No. 4 to his Schedule 13D to update his beneficial ownership after a 1-for-5 reverse stock split and warrant changes. He now reports beneficial ownership of 2,635,201 shares, representing 40.2% of the common stock. This includes sole voting and dispositive power over 58,704 shares and shared power over 2,576,497 shares held by the Smith Living Trust, of which 1,472,962 shares can be acquired within sixty days through warrant exercises. The filing notes that a common stock purchase warrant for 296,033 shares, bought on February 3, 2026 by the Smith Living Trust, has become exercisable within sixty days, and all share figures reflect the post-split share count, based on 5,086,650 shares outstanding after the reverse split.
Smith Micro Software’s Executive Chairman William W. Smith, Jr. filed Amendment No. 3 to his Schedule 13D to update his ownership in the company’s common stock. He now reports beneficial ownership of 11,695,827 shares, representing 37.3% of the common stock under SEC rules.
Smith has sole voting and dispositive power over 293,520 shares and shared power over 11,402,307 shares held by the Smith Living Trust, where he and his spouse are co‑trustees. This includes 5,884,633 shares the trust can acquire within 60 days through warrants, such as a warrant for 2,236,136 shares and adjusted warrants now exercisable for 1,073,390 shares, all following shareholder approvals on May 26, 2026.
Smith Micro Software is implementing a reverse stock split after stockholder approval. The Board set the ratio at one-for-five, so every five existing common shares will become one new share, effective at June 4, 2026, with fractional shares rounded up to a whole share.
The stock will begin trading on a split-adjusted basis on the Nasdaq Capital Market on June 5, 2026 under the same ticker, SMSI, with a new CUSIP 832154504. Stockholders also approved eight proposals at the annual meeting, including an equity incentive plan amendment and Nasdaq-related approvals for issuing warrant shares that may equal or exceed 20% of common stock outstanding.
Smith Micro Software, Inc. is registering 18,224,625 shares of Common Stock for resale by selling stockholders. The registration covers up to 7,190,188 Conversion Shares issuable upon conversion of Convertible Notes and up to 11,034,437 Warrant Shares issuable upon exercise of multiple warrant series, totaling 18,224,625 shares. The prospectus states the company will not receive proceeds from resale by the selling stockholders, although it may receive up to approximately $7.5 million if all Warrants are exercised for cash at current exercise prices. Several warrant anti-dilution adjustments are conditioned on stockholder approval under Nasdaq Listing Rule 5635, and the company disclosed an outstanding Nasdaq minimum bid-price compliance period and related reverse-split risks.
SMITH MICRO SOFTWARE, INC. director and Executive Chairman William W. Smith Jr. reported routine changes in his share holdings. The filing shows 1,618 shares of common stock were withheld at an average vesting price of $0.8685 per share to cover income taxes, which is a non‑market tax-withholding disposition rather than an open‑market sale. After this event he holds 293,520 shares directly and 5,517,674 shares indirectly through the Smith Living Trust.
SMITH MICRO SOFTWARE, INC. President and CEO Timothy C. Huffmyer reported a small tax-related share disposition. On the vesting date, 588 shares of common stock were withheld at an average vesting price of $0.8685 per share to cover income taxes. After this tax-withholding transaction, he directly holds 183,391 shares of common stock.
SMITH MICRO SOFTWARE, INC. VP, CFO and Treasurer Bethany M. Braund reported a Form 4 transaction involving company common stock. The company withheld 1,850 shares at an average vesting price of $0.8685 per share to cover her income tax obligations on vesting, a routine tax-withholding disposition rather than an open-market trade. After this withholding, she directly holds 30,974 shares of common stock.
Smith Micro Software, Inc. is registering 18,224,625 shares of common stock for resale by existing security holders. The shares include 7,190,188 shares issuable upon conversion of secured convertible notes and 11,034,437 shares issuable upon exercise of various warrants tied to prior debt and equity financings.
The company will not receive proceeds from stockholder resales but could receive up to approximately $7.5 million if all warrants are exercised for cash at current exercise prices. If all notes are converted and all warrants exercised, shares outstanding would rise from 25,557,408 to 43,782,033. Smith Micro highlights business concentration, going concern and Nasdaq minimum bid price compliance risks, alongside its SafePath and CommSuite product strategies.