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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Smith Micro Software Inc | NASDAQ:SMSI | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
-0.03 | -1.30% | 2.28 | 2.25 | 2.34 | 2.45 | 2.25 | 2.30 | 92,068 | 22:59:59 |
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UNITED STATES SECURITIES
|
OMB APPROVAL
OMB Number: 3235-0076
Estimated Average burden hours per response: 4.0
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Notice of Exempt Offering of Securities
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1. Issuer's Identity | ||
CIK (Filer ID Number) | Previous Name(s) x None | Entity Type |
0000948708
|
x
Corporation
o
Limited Partnership
o
Limited Liability Company
o
General Partnership
o
Business Trust
o
Other
|
|
Name of Issuer | ||
SMITH MICRO SOFTWARE INC
|
||
Jurisdiction of Incorporation/Organization | ||
DELAWARE | ||
Year of Incorporation/Organization | |||
x | Over Five Years Ago | ||
o | Within Last Five Years (Specify Year) | ||
o | Yet to Be Formed |
2. Principal Place of Business and Contact Information | ||||
Name of Issuer | ||||
SMITH MICRO SOFTWARE INC |
Street Address 1 | Street Address 2 | ||
51 Columbia |
City | State/Province/Country | ZIP/Postal Code | Phone No. of Issuer |
Aliso Viejo | CALIFORNIA | 92656 | 9493625800 |
3. Related Persons |
Last Name | First Name | Middle Name |
Smith, Jr. | William | W. |
Street Address 1 | Street Address 2 |
c/o Smith Micro Software, Inc. | 51 Columbia |
City | State/Province/Country | ZIP/Postal Code |
Aliso Viejo | CALIFORNIA | 92656 |
Relationship: | x | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
Huffmyer | Timothy | C. |
Street Address 1 | Street Address 2 |
c/o Smith Micro Software, Inc. | 51 Columbia |
City | State/Province/Country | ZIP/Postal Code |
Aliso Viejo | CALIFORNIA | 92656 |
Relationship: | x | Executive Officer | o | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
Campbell | Thomas | G. |
Street Address 1 | Street Address 2 |
c/o Smith Micro Software, Inc. | 51 Columbia |
City | State/Province/Country | ZIP/Postal Code |
Aliso Viejo | CALIFORNIA | 92656 |
Relationship: | o | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
Szabo | Gregory | J. |
Street Address 1 | Street Address 2 |
c/o Smith Micro Software, Inc. | 51 Columbia |
City | State/Province/Country | ZIP/Postal Code |
Aliso Viejo | CALIFORNIA | 92656 |
Relationship: | o | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
Gulko | Samuel |
Street Address 1 | Street Address 2 |
c/o Smith Micro Software, Inc. | 51 Columbia |
City | State/Province/Country | ZIP/Postal Code |
Aliso Viejo | CALIFORNIA | 92656 |
Relationship: | o | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
Arno | Andrew |
Street Address 1 | Street Address 2 |
c/o Smith Micro Software, Inc. | 51 Columbia |
City | State/Province/Country | ZIP/Postal Code |
Aliso Viejo | CALIFORNIA | 92656 |
Relationship: | o | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
Elfman | Steven | L. |
Street Address 1 | Street Address 2 |
c/o Smith Micro Software, Inc. | 51 Columbia |
City | State/Province/Country | ZIP/Postal Code |
Aliso Viejo | CALIFORNIA | 92656 |
Relationship: | o | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
4. Industry Group |
o | Agriculture | Health Care | o | Retailing | ||||
Banking & Financial Services | o | Biotechnology | o | Restaurants | ||||
o | Commercial Banking | o | Health Insurance | Technology | ||||
o | Insurance | o | Hospitals & Physicians | o | Computers | |||
o | Investing | o | Pharmaceuticals | x | Telecommunications | |||
o | Investment Banking | o | Other Health Care | o | Other Technology | |||
o |
Pooled Investment Fund
|
Travel | ||||||
o | Other Banking & Financial Services | o | Manufacturing | o | Airlines & Airports | |||
Real Estate | o | Lodging & Conventions | ||||||
o | Commercial | o | Tourism & Travel Services | |||||
o | Construction | o | Other Travel | |||||
o | REITS & Finance | o | Other | |||||
o | Residential | |||||||
o | Other Real Estate | |||||||
o | Business Services | |||||||
Energy | ||||||||
o | Coal Mining | |||||||
o | Electric Utilities | |||||||
o | Energy Conservation | |||||||
o | Environmental Services | |||||||
o | Oil & Gas | |||||||
o | Other Energy |
5. Issuer Size |
Revenue Range | Aggregate Net Asset Value Range | ||
o | No Revenues | o | No Aggregate Net Asset Value |
o | $1 - $1,000,000 | o | $1 - $5,000,000 |
o | $1,000,001 - $5,000,000 | o | $5,000,001 - $25,000,000 |
o | $5,000,001 - $25,000,000 | o | $25,000,001 - $50,000,000 |
o | $25,000,001 - $100,000,000 | o | $50,000,001 - $100,000,000 |
o | Over $100,000,000 | o | Over $100,000,000 |
x | Decline to Disclose | o | Decline to Disclose |
o | Not Applicable | o | Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply) |
o | Rule 504(b)(1) (not (i), (ii) or (iii)) | o | Rule 505 | |||
o | Rule 504 (b)(1)(i) | x | Rule 506(b) | |||
o | Rule 504 (b)(1)(ii) | o | Rule 506(c) | |||
o | Rule 504 (b)(1)(iii) | o | Securities Act Section 4(a)(5) | |||
o | Investment Company Act Section 3(c) |
7. Type of Filing |
x | New Notice | Date of First Sale | 2017-09-29 | o | First Sale Yet to Occur |
o | Amendment |
8. Duration of Offering |
Does the Issuer intend this offering to last more than one year? | o | Yes | x | No |
9. Type(s) of Securities Offered (select all that apply) |
o | Pooled Investment Fund Interests | x | Equity |
o | Tenant-in-Common Securities | o | Debt |
o | Mineral Property Securities | o | Option, Warrant or Other Right to Acquire Another Security |
o | Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security | o | Other (describe) |
10. Business Combination Transaction |
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? | o | Yes | x | No |
Clarification of Response (if Necessary) | ||||
11. Minimum Investment |
Minimum investment accepted from any outside investor | $ 0 USD |
12. Sales Compensation |
Recipient | Recipient CRD Number | o | None | ||
Sutter Securities Incorporated | 30770 | ||||
(Associated) Broker or Dealer | x | None | (Associated) Broker or Dealer CRD Number | x | None |
Street Address 1 | Street Address 2 | ||||
220 Montgomery Street, Suite 468 |
City | State/Province/Country | ZIP/Postal Code |
San Francisco | CALIFORNIA | 94104 |
State(s) of Solicitation | o | All States | o | Foreign/Non-US |
CALIFORNIA
NEW YORK UTAH |
13. Offering and Sales Amounts |
Total Offering Amount | $ 5500000 USD | o Indefinite |
Total Amount Sold | $ 5500000 USD | |
Total Remaining to be Sold | $ 0 USD | o Indefinite |
Clarification of Response (if Necessary) |
In the Offering, the Company raised gross cash proceeds of $2,700,000, and exchanged outstanding indebtedness with a principal amount of $2,800,000. |
14. Investors |
o |
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering |
|
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: | 18 |
15. Sales Commissions & Finders' Fees Expenses |
Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
|
Sales Commissions | $ 109600 USD | o | Estimate |
Finders' Fees | $ 0 USD | o | Estimate |
Clarification of Response (if Necessary) |
16. Use of Proceeds |
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
|
$ 2800000 USD | o | Estimate |
Clarification of Response (if Necessary) |
In the Offering, the Company exchanged outstanding indebtedness of (1) $2,750,000 owed to W. Smith (CEO) and Dieva L. Smith; and (2) $50,000 owed to A. Arno (Director). The net cash proceeds from the Offering are intended for working capital purposes. |
Signature and Submission |
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice. |
Terms of Submission |
In submitting this notice, each Issuer named above is: | ||
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Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person. | |
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature. |
Issuer | Signature | Name of Signer | Title | Date |
SMITH MICRO SOFTWARE INC | /s/ Timothy C. Huffmyer | Timothy C. Huffmyer | CFO | 2017-11-14 |
1 Year Smith Micro Software Chart |
1 Month Smith Micro Software Chart |
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