Filing Details
- Accession Number:
- 0001209191-10-054735
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-11-12 17:09:59
- Reporting Period:
- 2010-11-09
- Filing Date:
- 2010-11-12
- Accepted Time:
- 2010-11-12 17:09:59
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 948708 | Smith Micro Software Inc | SMSI | Services-Prepackaged Software (7372) | 330029027 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1251366 | P David Sperling | 51 Columbia Suite 200 Aliso Viejo CA 92656 | Cto | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2010-11-09 | 25,000 | $4.95 | 158,105 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-11-09 | 25,000 | $15.01 | 158,105 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2010-11-09 | 25,000 | $4.95 | 25,000 | $4.95 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 47,917 | 2015-07-27 | No | 4 | M | Direct |
Footnotes
- 25% exercisable on 07/28/06; balance exercisable in 36 successive equal monthly installments.
Billionaire Hedge Funds
