# EDGAR Filing Document

**Accession Number:** 0000948708
**File Stem:** 0001437749-26-018746
**Filing Date:** 2026-5
**Character Count:** 10788
**Document Hash:** 626651fab29a5dc9736225d8e86f1cfd
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001437749-26-018746.hdr.sgml**: 20260528

**ACCESSION NUMBER**: 0001437749-26-018746

**CONFORMED SUBMISSION TYPE**: SCHEDULE 13D/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20260528

**DATE AS OF CHANGE**: 20260528

**SUBJECT COMPANY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** SMITH MICRO SOFTWARE, INC.
- **CENTRAL INDEX KEY:** 0000948708
- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-PREPACKAGED SOFTWARE [7372]
- **ORGANIZATION NAME:** 06 Technology
- **EIN:** 330029027
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SCHEDULE 13D/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 005-81588
- **FILM NUMBER:** 261035406

**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
**FILED BY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** SMITH WILLIAM W JR
- **CENTRAL INDEX KEY:** 0001251368

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** SCHEDULE 13D/A

**MAIL ADDRESS:**
- **STREET 1:** 51 COLUMBIA
- **CITY:** ALISOVIEJO
- **STATE:** CA
- **ZIP:** 92656

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## SCHEDULE 13D

### Under the Securities Exchange Act of 1934

**(Amendment No. 3)**

**SMITH MICRO SOFTWARE, INC.**

*(Name of Issuer)*

**Common Stock, par value $0.001 per share**

*(Title of Class of Securities)*

**—**

*(CUSIP Number)*

**William W. Smith, Jr.**<br>Smith Micro Software, Inc.<br>120 Vantis Drive, Suite 350<br>Aliso Viejo CA 92656<br>(949) 362-5800

*(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)*

**05/26/2026**

*(Date of Event Which Requires Filing of this Statement)*

| **CUSIP No.** | **—** |

---

| | | | |
|:--|:--|:--|:--|
| 1 | Name of reporting person<br>**SMITH WILLIAM W JR** | Name of reporting person<br>**SMITH WILLIAM W JR** | |
| 2 | Check the appropriate box if a member of a Group (See Instructions)<br>[x] (a)<br>[ ] (b) | Check the appropriate box if a member of a Group (See Instructions)<br>[x] (a)<br>[ ] (b) | |
| 3 | SEC use only | SEC use only | |
| 4 | Source of funds (See Instructions)<br>**OO** | Source of funds (See Instructions)<br>**OO** | |
| 5 | Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)<br>[ ] | Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)<br>[ ] | |
| 6 | Citizenship or place of organization<br>**X1** | Citizenship or place of organization<br>**X1** | |
| Number of Shares<br>Beneficially Owned by<br>Each Reporting Person With: | 7 | Sole Voting Power<br>**293520.00** |
| Number of Shares<br>Beneficially Owned by<br>Each Reporting Person With: | 8 | Shared Voting Power<br>**11402307.00** |
| Number of Shares<br>Beneficially Owned by<br>Each Reporting Person With: | 9 | Sole Dispositive Power<br>**293520.00** |
| Number of Shares<br>Beneficially Owned by<br>Each Reporting Person With: | 10 | Shared Dispositive Power<br>**11402307.00** |
| 11 | Aggregate amount beneficially owned by each reporting person<br>**11695827.00** | Aggregate amount beneficially owned by each reporting person<br>**11695827.00** | |
| 12 | Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)<br>[ ] | Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)<br>[ ] | |
| 13 | Percent of class represented by amount in Row (11)<br>**37.3%** | Percent of class represented by amount in Row (11)<br>**37.3%** | |
| 14 | Type of Reporting Person (See Instructions)<br>**IN** | Type of Reporting Person (See Instructions)<br>**IN** | |

---

**Comment for Reporting Person:** (Explanatory Note) This is Amendment No. 3 (this "Amendment") to Schedule 13D (as previously amended, the "Schedule") filed on November 17, 2025 by William W. Smith, Jr., relating to the ownership of shares of Common Stock, par value $0.001 per share (the "Common Stock") of Smith Micro Software, Inc., a Delaware corporation (the "Issuer"). The purpose of this Amendment is to reflect changes resulting from (i) the May 26, 2026 approval by the Issuer's shareholders of matters related to that certain warrant dated November 7, 2025 held by the Smith Living Trust, which warrant became exercisable for 2,236,136 shares upon such shareholder approval; (ii) the May 26, 2026 approval by the Issuer's shareholders of matters related to warrants dated September 11 and September 17, 2025 held by the Smith Living Trust, which warrants were originally exercisable for 986,342 shares of Common Stock and became exercisable for an additional 87,048 shares upon such shareholder approval, such that they are now exercisable for 1,073,390 shares of Common Stock; and (iii) certain other changes in beneficial ownership and reporting information since the filing of the last amendment to the Schedule. Except as specifically set forth herein, the Schedule otherwise remains unmodified. Capitalized terms used herein and not otherwise defined shall have the respective meanings ascribed to them in the Schedule.

(1) The shared voting power and aggregate amount beneficially owned by the Reporting Person includes 11,402,307 shares held in the name of the Smith Living Trust, for which Mr. Smith and his spouse are co-trustees, including 5,884,633 shares of common stock not outstanding which the Smith Living Trust has the right to acquire within sixty (60) days upon the exercise of warrants.

(2) The percent of class beneficially owned by the Reporting Person is based on 25,433,247 shares of common stock outstanding as of May 26, 2026, as reflected in the records of the Issuer's transfer agent and 5,884,633 shares of common stock not outstanding which the Smith Living Trust has the right to acquire within sixty (60) days upon the exercise of warrants, in accordance with Rule 13d-3(d)(1)(i).

**Item 1. Security and Issuer**

**(a) Title of Class of Securities:**
Common Stock, par value $0.001 per share

**(b) Name of Issuer:**
SMITH MICRO SOFTWARE, INC.

**(c) Address of Issuer's Principal Executive Offices:**
5800 CORPORATE DRIVE, PITTSBURGH, PA, 15237

**Item 4. Purpose of Transaction**

Item 4 of the Schedule is hereby amended to add the following:

As noted in the Explanatory Note, the Smith Living Trust purchased for investment purposes a common stock purchase warrant exercisable for 2,236,136 shares of Common Stock and common stock purchase warrants which pursuant to certain adjustment provisions have become exercisable for an additional 87,048 shares of Common Stock of the Issuer.

**Item 5. Interest in Securities of the Issuer**

**(a)**
Item 5(a) is hereby amended and restated as follows:
William W. Smith, Jr. has sole voting and dispositive power over 293,520 shares (0.9% of the Common Stock) and shared voting and dispositive power over 11,402,307 shares (36.4% of the Common Stock), including 5,884,633 shares of common stock not outstanding which the Smith Living Trust has the right to acquire within sixty (60) days upon the exercise of warrants. The shares over which Mr. Smith has shared voting and dispositive power are held by the Smith Living Trust, for which Mr. Smith and his spouse are co-trustees. In the aggregate, William W. Smith, Jr. has beneficial ownership of 11,695,827 shares (or 37.3%) of the Common Stock.

The above calculations are based on 25,433,247 shares of common stock outstanding as of May 26, 2026, as reflected in the records of the Issuer's transfer agent and 5,884,633 shares of common stock not outstanding which the Smith Living Trust has the right to acquire within sixty (60) days upon the exercise of warrants, in accordance with Rule 13d-3(d)(1)(i).

**(b)**
Item 5(b) is hereby amended and restated as follows:
William W. Smith, Jr. has sole voting and dispositive power over 293,520 shares (0.9% of the Common Stock) and shared voting and dispositive power over 11,402,307 shares (36.4% of the Common Stock), including 5,884,633 shares of common stock not outstanding which the Smith Living Trust has the right to acquire within sixty (60) days upon the exercise of warrants. The shares over which Mr. Smith has shared voting and dispositive power are held by the Smith Living Trust, for which Mr. Smith and his spouse are co-trustees.

In the aggregate, William W. Smith, Jr. has beneficial ownership of 11,695,827 shares (or 37.3%) of the
Common Stock.

The above calculations are based on 25,433,247 shares of common stock outstanding as of May 26, 2026, as reflected in the records of the Issuer's transfer agent and 5,884,633 shares of common stock not outstanding which the Smith Living Trust has the right to acquire within sixty (60) days upon the exercise of warrants, in accordance with Rule 13d-3(d)(1)(i).

**(c)**
On April 27, 2026, 1,618 shares of Common Stock were withheld from Mr. Smith, at an average vesting price of $0.70 per share, for the payment of income taxes.

On May 14, 2026, 1,618 shares of Common Stock were withheld from Mr. Smith, at an average vesting price of $0.8685 per share, for the payment of income taxes.

On May 26, 2026, the Issuer's shareholders approved matters related to that certain warrant dated November 7, 2025 held by the Smith Living Trust for investment purposes, which warrant became exercisable for 2,236,136 shares upon such shareholder approval.

On May 26, 2026, the Issuer's shareholders approved matters related to warrants dated September 11 and September 17, 2025 held by the Smith Living Trust for investment purposes, which warrants were originally exercisable for 986,342 shares of Common Stock and became exercisable for an additional 87,048 shares upon such shareholder approval. Accordingly, these warrants are exercisable for 1,073,390 shares of Common Stock.

**Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer.**

Item 6 is hereby amended to add the following information:
Items 5(a), 5(b), 5(c) and 5(d) are incorporated by reference herein.

### SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

**Reporting Person:** SMITH WILLIAM W JR

**Signature:** William W. Smith, Jr.

**Name/Title:** William W. Smith, Jr.

**Date:** 05/28/2026