# EDGAR Filing Document

**Accession Number:** 0000944075
**File Stem:** 0000944075-25-000078
**Filing Date:** 2025-10
**Character Count:** 13426
**Document Hash:** 37a9b93ff2c574457f1c731470697b64
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000944075-25-000078.hdr.sgml**: 20251015

**ACCESSION NUMBER**: 0000944075-25-000078

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

**PUBLIC DOCUMENT COUNT**: 2

**FILED AS OF DATE**: 20251015

**DATE AS OF CHANGE**: 20251015

**SUBJECT COMPANY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** SOCKET MOBILE, INC.
- **CENTRAL INDEX KEY:** 0000944075
- **STANDARD INDUSTRIAL CLASSIFICATION:** ELECTRONIC COMPUTERS [3571]
- **ORGANIZATION NAME:** 06 Technology
- **EIN:** 943155066
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SCHEDULE 13D/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 005-50241
- **FILM NUMBER:** 251394527

**BUSINESS ADDRESS:**
- **STREET 1:** 40675 ENCYCLOPEDIA CIRCLE
- **CITY:** FREMONT
- **STATE:** CA
- **ZIP:** 94538-2475
- **BUSINESS PHONE:** 5109333000

**MAIL ADDRESS:**
- **STREET 1:** 40675 ENCYCLOPEDIA CIRCLE
- **CITY:** FREMONT
- **STATE:** CA
- **ZIP:** 94538-2475

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** SOCKET COMMUNICATIONS INC
- **DATE OF NAME CHANGE:** 19950418
**FILED BY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** MILLS KEVIN J
- **CENTRAL INDEX KEY:** 0001192160

**ORGANIZATION NAME:**

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

**MAIL ADDRESS:**
- **STREET 1:** 40675 ENCYCLOPEDIA CIR.
- **CITY:** FREMONT
- **STATE:** CA
- **ZIP:** 94538

## Ex-1

**Exhibit 1** 

**CONVERTIBLE NOTE Transfer Agreement**

This Convertible Note Transfer Agreement (this "***Agreement***") is entered into as of October 13, 2025 (the "***Effective Date***"), by and between Kevin Mills ("***Holder***"), and Charlie Bass ("***Transferee***").

**Recitals:**

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;A. Holder is the record owner of a certain Secured Subordinated Convertible Note, dated May 26, 2023 (the "***Issuance Date***"), with a principal amount of $500,000.00 (the "***Note***") issued by Socket Mobile, Inc., a Delaware corporation (the "***Company***").

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;B. Holder desires to transfer the Note to Transferee for a purchase price of $500,000.00 (the "***Purchase Price***").

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;C. Transferee desires to accept the transfer of the Note from Holder and assume the rights and obligations of Holder under the Note.

NOW THEREFORE, in consideration of the mutual promises and covenants contained herein, the parties to this Agreement hereby agree as follows:

**Agreement:**

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1. <u>Transfer of Note</u>. Subject to delivery of the Purchase Price by Transferee to Holder, Holder hereby delivers, transfers and assigns to Transferee, and Transferee hereby accepts and assumes from Holder, all of Holder's rights, title and interest in and to the Note. In connection with the transfer, Holder hereby irrevocably constitutes and appoints the Company to transfer the Note on the books of the Company with full power of substitution in the premises. Transferee shall be deemed to be the owner of the Note effective for all purposes as of the Effective Date.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2. <u>Consideration</u>. In consideration for the transfer of the Note, Transferee shall pay to Holder the Purchase Price by wire transfer on the date hereof.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;3. <u>Agreement to be Bound</u>. Transferee hereby agrees to be bound by the terms and restrictions of the Note and hereby acknowledges receipt of the same. Holder hereby assigns its rights and obligations as permitted under the Note to Transferee, and Transferee accepts and assumes such rights and obligations.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;4. <u>Representations and Warranties of Holder</u>. Holder hereby represents and warrants that Holder is the sole beneficial owner of the Note and that the Note is free and clear of any liens or encumbrances (other than restrictions on transfer under applicable state and federal laws and restrictions under the Note). Holder further represents that Holder has good and marketable title to the Note and the right and authority to transfer the Note to Transferee pursuant to this Agreement and without any further third-party consent.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;5. <u>Representations and Warranties of Transferee</u>. Transferee hereby represents and warrants that Transferee has full power and authority to enter into this Agreement

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;6. <u>Further Agreements</u>. The parties agree to execute such further instruments and to take such further action as may reasonably be necessary to carry out the intent of this Agreement and the Note.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;7. <u>Miscellaneous</u>.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(a) The parties understand, acknowledge, and agree that this Agreement is binding upon and shall inure to the benefit of the parties and their respective successors, administrators, executors, representatives and heirs.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(b) The parties hereby agree that this Agreement may be executed in counterparts, each of which shall be deemed an original but all of which taken together shall constitute one instrument.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(c) This Agreement and all acts and transactions pursuant hereto and the rights and obligations of the parties hereto shall be governed, construed and interpreted in accordance with the laws of the State of California, without giving effect to principles of conflicts of law.

[*Signature Page Follows*]

IN WITNESS WHEREOF, the parties hereto have executed this Convertible Note Transfer Agreement as of the day and year first above written.

 

**HOLDER:**

By:_______________

Name: Kevin Mills

**TRANSFEREE:**

By:_______________

Name: Charlie Bass

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

## SCHEDULE 13D

### Under the Securities Exchange Act of 1934

**(Amendment No. 2)**

**SOCKET MOBILE, INC.**

*(Name of Issuer)*

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

*(Title of Class of Securities)*

**83368E200**

*(CUSIP Number)*

**Jason Wu**<br>40675 Encyclopedia Circle<br>Fremont CA 94538<br>5109333085

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

**10/13/2025**

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

| **CUSIP No.** | **83368E200** |

---

| | | | |
|:--|:--|:--|:--|
| 1 | Name of reporting person<br>**MILLS KEVIN J** | Name of reporting person<br>**MILLS KEVIN J** | |
| 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>**PF** | Source of funds (See Instructions)<br>**PF** | |
| 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>**L2** | Citizenship or place of organization<br>**L2** | |
| Number of Shares<br>Beneficially Owned by<br>Each Reporting Person With: | 7 | Sole Voting Power<br>**591626.00** |
| Number of Shares<br>Beneficially Owned by<br>Each Reporting Person With: | 8 | Shared Voting Power<br>**0.00** |
| Number of Shares<br>Beneficially Owned by<br>Each Reporting Person With: | 9 | Sole Dispositive Power<br>**591626.00** |
| Number of Shares<br>Beneficially Owned by<br>Each Reporting Person With: | 10 | Shared Dispositive Power<br>**0.00** |
| 11 | Aggregate amount beneficially owned by each reporting person<br>**591626.00** | Aggregate amount beneficially owned by each reporting person<br>**591626.00** | |
| 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>**7.1%** | Percent of class represented by amount in Row (11)<br>**7.1%** | |
| 14 | Type of Reporting Person (See Instructions)<br>**IN** | Type of Reporting Person (See Instructions)<br>**IN** | |

---

**Item 1. Security and Issuer**

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

**(b) Name of Issuer:**
SOCKET MOBILE, INC.

**(c) Address of Issuer's Principal Executive Offices:**
40675 ENCYCLOPEDIA CIRCLE, FREMONT, CA, 94538-2475

This Amendment No. 2 (this Amendment) relates to shares of Common Stock, par value $0.001 per share (the Common Stock), of Socket Mobile, Inc., a Delaware corporation (the Issuer), and amends the initial statement on Schedule 13D filed by the Reporting Person on June 5, 2023, as amended by Amendment No. 1 filed on June 3, 2025 (as amended, the Original Schedule 13D).
The information reported in the Original Schedule 13D remains in effect, except to the extent that it is amended, restated or superseded by information contained in this Amendment. Capitalized terms used but not defined in this Amendment have the respective meanings set forth in the Schedule 13D. All references in Schedule 13D and this Amendment shall be deemed to refer to the Schedule 13D as amended and supplemented by this Amendment.

This Amendment relates to shares of Common Stock of the Issuer, whose principal executive offices are located at 40675 Encyclopedia Cir., Fremont, CA 94538.
This Amendment is filed by Mr. Kevin Mills (the Reporting Person) to report the disposition of a convertible note previously held by the Reporting Person. The note is convertible into shares of the Common Stock of the Issuer at a future date, subject to its terms.

**Item 4. Purpose of Transaction**

On October 13, 2025, the Reporting Person transferred to Mr. Charlie Bass (the Transferee), the Chairman of the Board of Directors, a convertible note with a principal amount of $500,000.00, which is convertible into shares of Common Stock of the Issuer at a future date subject to its terms.
The transfer was made for investment management purposes. Except as set forth herein, the Reporting Person has no plans or proposals that would result in any of the actions specified in paragraphs (a) through (j) of Item 4 of Schedule 13D.

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

**(a)**
Mr. Mills is the beneficial owner of 591,626 shares of Common Stock consisting of (i) 182,444 shares of Common Stock held by the Mills Trust, (ii) up to 119,863 shares of Common Stock issuable to the Mills Trust upon conversion of the convertible subordinated secured promissory note purchased by the Mills Trust on August 31, 2020 (the 2020 Note), (iii) up to 233,644 shares of Common Stock issuable to the Mills Trust upon conversion of the 2025 Note, and (iv) up to 55,675 shares of Common Stock issuable pursuant to stock options held by Mr. Mills that are exercisable within 60 days of the date of this filing.
Such shares of Common Stock, collectively, represent 7.07 % of the 8.370.644 shares of Common Stock deemed to be outstanding for the purpose of computing the percentage of outstanding shares of Common Stock owned by Mr. Mills pursuant to SEC Rule 13d-3(d)(1) (i), and which consists of (i) 7,921,761 shares of Common Stock outstanding as of October 13, 2025 and (ii) 591,626 shares of Common Stock issuable upon conversion of the 2020 Note and 2025 Note and exercise of the stock options described above.

**(b)**
Mr. Mills has sole power to vote and dispose of all shares of Common Stock beneficially owned by Mr. Mills.

**(c)**
Except for the transfer described above, the Reporting Person has not effected any transactions in the securities of the Issuer during the past 60 days.

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

The Reporting Person entered into a Convertible Note Transfer Agreement, dated October 13, 2025, pursuant to which the convertible note was transferred to the Transferee. The note remains convertible into Common Stock of the Issuer at a future date, in accordance with its terms.
Other than as described herein, the Reporting Person has no contracts, arrangements, understandings, or relationships (legal or otherwise) with respect to the securities of the Issuer.

### 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:** MILLS KEVIN J

**Signature:** /s/ Kevin Mills

**Name/Title:** Kevin Mills/Chief Executive Officer

**Date:** 10/15/2025