# EDGAR Filing Document

**Accession Number:** 0001251368
**File Stem:** 0001437749-25-035480
**Filing Date:** 2025-11
**Character Count:** 9678
**Document Hash:** 55235011b7b628e7f1e620ea1ef15989
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001437749-25-035480.hdr.sgml**: 20251117

**ACCESSION NUMBER**: 0001437749-25-035480

**CONFORMED SUBMISSION TYPE**: SCHEDULE 13D

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20251117

**DATE AS OF CHANGE**: 20251117

**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
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 005-81588
- **FILM NUMBER:** 251492137

**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

**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

**SMITH MICRO SOFTWARE, INC.**

*(Name of Issuer)*

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

*(Title of Class of Securities)*

**832154405**

*(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)*

**11/07/2025**

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

| **CUSIP No.** | **832154405** |

---

| | | | |
|:--|:--|:--|:--|
| 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>**249348.00** |
| Number of Shares<br>Beneficially Owned by<br>Each Reporting Person With: | 8 | Shared Voting Power<br>**8168075.00** |
| Number of Shares<br>Beneficially Owned by<br>Each Reporting Person With: | 9 | Sole Dispositive Power<br>**249348.00** |
| Number of Shares<br>Beneficially Owned by<br>Each Reporting Person With: | 10 | Shared Dispositive Power<br>**8168075.00** |
| 11 | Aggregate amount beneficially owned by each reporting person<br>**8417423.00** | Aggregate amount beneficially owned by each reporting person<br>**8417423.00** | |
| 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>**30.0%** | Percent of class represented by amount in Row (11)<br>**30.0%** | |
| 14 | Type of Reporting Person (See Instructions)<br>**IN** | Type of Reporting Person (See Instructions)<br>**IN** | |

---

**Comment for Reporting Person:** (1)	The shared voting power and aggregate amount beneficially owned by the Reporting Person includes 8,168,075 shares held in the name of the Smith Living Trust, for which Mr. Smith and his spouse are co-trustees, including 2,575,107 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 25,461,930 shares of common stock outstanding as of November 13, 2025, as reflected in the records of the Issuer's transfer agent and 2,575,107 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**

William W. Smith, Jr. has no plans or proposals which relate to or would result in any of the matters listed in Item 4 of Schedule 13D, except that, from time to time, William W. Smith, Jr. may acquire shares of Common Stock pursuant to equity awards granted to him by the Issuer, Mr. Smith may acquire or dispose of shares of Common Stock for investment, tax and estate planning purposes through open market transactions or otherwise, Mr. Smith may gift shares of Common Stock to the Smith Living Trust or otherwise, and certain shares of Common Stock may be acquired via the exercise of warrants held by the Smith Living Trust, for which Mr. Smith and his spouse are co-trustees.

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

**(a)**
William W. Smith, Jr. has sole voting and dispositive power over 249,348 shares (0.9% of the Common Stock) and shared voting and dispositive power over 8,168,075 shares (29.1% of the Common Stock), including 2,575,107 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  8,417,423 shares (or 30.0%) of the Common Stock.

The above calculations are based on 25,461,930 shares of common stock outstanding as of November 13, 2025, as reflected in the records of the Issuer's transfer agent, and 2,575,107 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)**
William W. Smith, Jr. has sole voting and dispositive power over 249,348 shares (0.9% of the Common Stock) and shared voting and dispositive power over 8,168,075 shares (29.1% of the Common Stock), including 2,575,107 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  8,417,423 shares (or 30.0%) of the Common Stock.

The above calculations are based on 25,461,930 shares of common stock outstanding as of November 13, 2025, as reflected in the records of the Issuer's transfer agent, and 2,575,107 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 September 29, 2025, Mr. Smith made a gift of 47,473 shares to the Smith Living Trust for no consideration. On November 7, 2025, pursuant to a Securities Purchase Agreement dated November 5, 2025, between the Issuer and the Purchaser parties thereto, Smith Living Trust (for which William W. Smith, Jr. serves as co-trustee) purchased 2,236,136 shares of Common Stock, together with a warrant to purchase an equal number of shares of Common Stock, at a purchase price of $0.6708 per share, which warrant is exercisable following stockholder approval of the same, which is anticipated to occur in June 2026.

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

The information set forth, or incorporated by reference, in Items 3, 4, and 5 is incorporated by reference to this Item 6. Except as otherwise described in this Schedule, William W. Smith, Jr. (either individually or through the Smith Living Trust) does not have any contracts, arrangements, understandings or relationships (legal or otherwise) with ay persons with respect to any securities of the Issuer, including but not limited to the transfer or voting of any securities, finder's fees, joint ventures, loan or option agreements, puts or calls, guarantees of profits, division of profits or losses, or the giving or withholding of proxies.

### 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:** /s/ William W. Smith, Jr.

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

**Date:** 11/17/2025