Smith Micro Software Files 8-K on Shareholder Vote Matters

TL;DR

SMSI filed an 8-K for a shareholder vote matter on Dec 10.

AI Summary

Smith Micro Software, Inc. filed an 8-K on December 11, 2024, reporting on a submission of matters to a vote of security holders that occurred on December 10, 2024. The filing details administrative information about the company, including its incorporation in Delaware and principal executive offices in Pittsburgh, PA.

Why It Matters

This filing indicates a formal process involving shareholder decisions, which could impact the company's governance or strategic direction.

Risk Assessment

Risk Level: low — The filing is procedural and administrative, with no immediate financial or operational risks disclosed.

Key Numbers

• 001-35525 — SEC File Number (Identifies the company's filing with the SEC.)
• 33-0029027 — IRS Employer Identification No. (Company's tax identification number.)

Key Players & Entities

• SMITH MICRO SOFTWARE, INC. (company) — Registrant
• Delaware (jurisdiction) — State of Incorporation
• Pittsburgh, PA (location) — Address of Principal Executive Offices
• December 10, 2024 (date) — Date of earliest event reported
• December 11, 2024 (date) — Date of Report

FAQ

Key Financial Figures

• $0.001 — ich registered Common Stock, par value $0.001 per share SMSI NASDAQ Indicate by che

Filing Documents

• smsi-20241210.htm (8-K) — 35KB
• 0000948708-24-000037.txt ( ) — 155KB
• smsi-20241210.xsd (EX-101.SCH) — 2KB
• smsi-20241210_lab.xml (EX-101.LAB) — 21KB
• smsi-20241210_pre.xml (EX-101.PRE) — 12KB
• smsi-20241210_htm.xml (XML) — 3KB

07 Submission of Maters to a Vote of Security Holders

Item 5.07 Submission of Maters to a Vote of Security Holders. (a) On December 10, 2024, Smith Micro Software, Inc. (the "Company") held a special meeting of stockholders (the "Special Meeting"). The Special Meeting was reconvened on December 10, 2024 following its adjournment on its originally scheduled date of November 12, 2024. Of the 15,179,115 shares of the Company's common stock outstanding and entitled to vote at the Special Meeting, 8,082,863 shares (or 53.25%), constituting a quorum, were represented in person (online) or by proxy at the Special Meeting. (b) Two proposals were submitted by the Company's Board of Directors to a vote of Company stockholders, and the final results of the voting on each proposal are noted below. The Company's stockholders approved, for purposes of Nasdaq listing rule 5635(b), the issuance by the Company of that number of shares of Company common stock, par value $0.001 per share (the "Common Stock") that would cause William W. Smith, Jr. to beneficially own twenty percent (20%) or more of the Common Stock or voting power of the Company, through the exercise of those certain warrants to purchase up to 2,575,107 shares of Common Stock (the "Common Warrants"), which were acquired by a trust for which William W. Smith, Jr., our Chairman, President, and Chief Executive Officer, serves as co-trustee (the "Nasdaq Proposal"), and shareholders approved the adjournment of the Special Meeting, if necessary, to solicit additional proxies if there are insufficient votes at the time of the Special Meeting to approve the Nasdaq Proposal (the "Adjournment Proposal"). The final results of the voting on each proposal are set forth below. Proposal No. 1 – Approval of the Nasdaq Proposal. The votes on this proposal were as follows: For Against Abstain Broker Non-Votes 7,492,839 535,469 54,555 0 Proposal No. 2 – Approval of the Adjournment Proposal. The votes on this proposal were as follows: For Against Abstain Broker Non-

SIGNATURES

SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. Smith Micro Software, Inc. Date: December 11, 2024 By: /s/ James M. Kempton James M. Kempton Vice President and Chief Financial Officer

View Full Filing

View this 8-K filing on SEC EDGAR