0000948708-18-000005.txt : 20181121 0000948708-18-000005.hdr.sgml : 20181121 20181121170452 ACCESSION NUMBER: 0000948708-18-000005 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20181121 DATE AS OF CHANGE: 20181121 EFFECTIVENESS DATE: 20181121 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: 021-326395 FILM NUMBER: 181198749 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 FORMER COMPANY: FORMER CONFORMED NAME: SMITH MICRO SOFTWARE INC DATE OF NAME CHANGE: 19950731 D 1 primary_doc.xml X0708 D LIVE 0000948708 SMITH MICRO SOFTWARE, INC 51 COLUMBIA ALISO VIEJO CA CALIFORNIA 92656 9493625800 DELAWARE SMITH MICRO SOFTWARE INC 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 2018-11-07 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 7500102 7500102 0 false 7 600008 0 For its services as placement agent, Chardan Capital Markets, LLC received $450,006. For its services as financial advisor, Roth Capital Partners, LLC received $150,002. 1200000 Principal payments under short-term and long-term loans to William Smith, Jr. in the amount of $1,000,000 and Andrew Arno in the amount of $200,000. false SMITH MICRO SOFTWARE, INC /s/ Timothy C. Huffmyer Timothy C. Huffmyer Chief Financial Officer 2018-11-21