0000948708-18-000002.txt : 20180517 0000948708-18-000002.hdr.sgml : 20180517 20180517131942 ACCESSION NUMBER: 0000948708-18-000002 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20180517 DATE AS OF CHANGE: 20180517 EFFECTIVENESS DATE: 20180517 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SMITH MICRO SOFTWARE INC CENTRAL INDEX KEY: 0000948708 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 330029027 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D SEC ACT: 1933 Act SEC FILE NUMBER: 021-312669 FILM NUMBER: 18842426 BUSINESS ADDRESS: STREET 1: 51 COLUMBIA CITY: ALISO VIEJO STATE: CA ZIP: 92656 BUSINESS PHONE: 9493625800 MAIL ADDRESS: STREET 1: 51 COLUMBIA CITY: ALISO VIEJO STATE: CA ZIP: 92656 D 1 primary_doc.xml X0708 D LIVE 0000948708 SMITH MICRO SOFTWARE INC 51 COLUMBIA ALISO VIEJO CA CALIFORNIA 92656 9493625800 DELAWARE None None Corporation true William W. Smith, Jr. 51 Columbia Aliso Viejo CA CALIFORNIA 92656 Executive Officer Director Timothy C. Huffmyer 51 Columbia Aliso Viejo CA CALIFORNIA 92656 Executive Officer Thomas G. Campbell 51 Columbia Aliso Viejo CA CALIFORNIA 92656 Director Gregory J. Szabo 51 Columbia Aliso Viejo CA CALIFORNIA 92656 Director Samuel Gulko 51 Columbia Aliso Viejo CA CALIFORNIA 92656 Director Andrew Arno 51 Columbia Aliso Viejo CA CALIFORNIA 92656 Director Steven L. Elfman 51 Columbia Aliso Viejo CA CALIFORNIA 92656 Director Telecommunications Decline to Disclose 06b false 2018-05-03 false true true false 0 Chardan Capital Markets, LLC 120128 None None 17 State Street New York NY NEW YORK 10004 NY NEW YORK true Roth Capital Partners, LLC 15407 None None 888 San Clemente Drive Newport Beach CA CALIFORNIA 92660 NY NEW YORK true 7005700 7005700 0 false 7 630399 0 For its services as placement agent, Chardan Capital Markets, LLC received $490,399. For its services as financial advisor, Roth Capital Partners, LLC received $140,000. 246000 Dividends on Series B 10% Convertible Preferred Stock to William Smith, Jr. and Andrew Arno for $100,750 and $1,250, respectively. Interest payments under long-term loans to William Smith, Jr. and Andrew Arno for $120,000 and $24,000, respectively. false SMITH MICRO SOFTWARE INC /s/ Timothy C. Huffmyer Timothy C. Huffmyer Chief Financial Officer 2018-05-17