0000948708-24-000028.txt : 20241010 0000948708-24-000028.hdr.sgml : 20241010 20241010105313 ACCESSION NUMBER: 0000948708-24-000028 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20241010 DATE AS OF CHANGE: 20241010 EFFECTIVENESS DATE: 20241010 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SMITH MICRO SOFTWARE, INC. CENTRAL INDEX KEY: 0000948708 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] ORGANIZATION NAME: 06 Technology IRS NUMBER: 330029027 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D SEC ACT: 1933 Act SEC FILE NUMBER: 021-526424 FILM NUMBER: 241364204 BUSINESS ADDRESS: STREET 1: 5800 CORPORATE DRIVE CITY: PITTSBURGH STATE: PA ZIP: 15237 BUSINESS PHONE: 4128375300 MAIL ADDRESS: STREET 1: 5800 CORPORATE DRIVE CITY: PITTSBURGH STATE: PA ZIP: 15237 FORMER COMPANY: FORMER CONFORMED NAME: SMITH MICRO SOFTWARE, INC DATE OF NAME CHANGE: 20181023 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. 5800 CORPORATE DRIVE PITTSBURGH PA PENNSYLVANIA 15237 4128375300 DELAWARE SMITH MICRO SOFTWARE, INC SMITH MICRO SOFTWARE INC Corporation true James M Kempton 5800 Corporate Drive Pittsburgh PA PENNSYLVANIA 15237 Executive Officer Vice President, Chief Financial Officer and Treasurer William W Smith Jr. 5800 Corporate Drive Pittsburgh PA PENNSYLVANIA 15237 Executive Officer Director Chairman of the Board, President, and Chief Executive Officer Andrew Arno 5800 Corporate Drive Pittsburgh PA PENNSYLVANIA 15237 Director Thomas G Campbell 5800 Corporate Drive Pittsburgh PA PENNSYLVANIA 15237 Director Steven L Elfman 5800 Corporate Drive Pittsburgh PA PENNSYLVANIA 15237 Director Samuel Gulko 5800 Corporate Drive Pittsburgh PA PENNSYLVANIA 15237 Director Asha Keddy 5800 Corporate Drive Pittsburgh PA PENNSYLVANIA 15237 Director Chetan Sharma 5800 Corporate Drive Pittsburgh PA PENNSYLVANIA 15237 Director Gregory J Szabo 5800 Corporate Drive Pittsburgh PA PENNSYLVANIA 15237 Director Telecommunications Decline to Disclose 06b false 2024-10-02 false true true false 0 Roth Capital Partners, LLC 15407 None None 888 San Clemente Drive Suite 400 Newport Beach CA CALIFORNIA 92660 CA CALIFORNIA true Indefinite 0 Indefinite Value of warrants indeterminable at time of offering. Warrants were issued in connection with a concurrent registered direct offering of common stock. false 14 0 true 0 Fees paid to Roth Capital Partners, LLC as tail compensation under an expired engagement letter in connection with the warrant issuance are indeterminable. Warrants were issued in connection with a concurrent registered direct offering of common stock. 0 false SMITH MICRO SOFTWARE, INC. /s/ James M. Kempton James M. Kempton Vice President, Chief Financial Officer and Treasurer 2024-10-10