06/10/2025 | Press release | Distributed by Public on 06/10/2025 16:03
FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Huffmyer Timothy C. 5800 CORPORATE DR. PITTSBURGH, PA 15237 |
VP, COO, CFO and Treasurer |
Jennifer M. Reinke, attorney-in-fact for Timothy C. Huffmyer | 06/10/2025 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Unrestricted stock award pursuant to the Smith Micro Software, Inc. Amended and Restated Omnibus Equity Incentive Plan. |
(2) | Restricted stock subject to time and performance-based vesting. Up to 12,759 shares will vest in installments subject to satisfaction of performance criteria for the second quarter of 2025. Of the remaining 72,917 shares, 50% vest in equal monthly installments over 48 months, subject to continuing employment, and 50% vest subject to satisfaction of 2025 financial performance criteria, with 25% of such amount to vest approximately March 2026 and the remainder in equal monthly installments over the next 36 months. |