<SEC-DOCUMENT>0001564590-17-019209-index.html : 20171004 <SEC-HEADER>0001564590-17-019209.hdr.sgml : 20171004 <ACCEPTANCE-DATETIME>20171004131649 ACCESSION NUMBER: 0001564590-17-019209 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 6 CONFORMED PERIOD OF REPORT: 20170929 ITEM INFORMATION: Entry into a Material Definitive Agreement ITEM INFORMATION: Unregistered Sales of Equity Securities ITEM INFORMATION: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year ITEM INFORMATION: Regulation FD Disclosure ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20171004 DATE AS OF CHANGE: 20171004 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SMITH MICRO SOFTWARE INC CENTRAL INDEX KEY: 0000948708 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 330029027 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-35525 FILM NUMBER: 171121072 BUSINESS ADDRESS: STREET 1: 51 COLUMBIA CITY: ALISO VIEJO STATE: CA ZIP: 92656 BUSINESS PHONE: 9493625800 MAIL ADDRESS: STREET 1: 51 COLUMBIA CITY: ALISO VIEJO STATE: CA ZIP: 92656 </SEC-HEADER> <DOCUMENT> <TYPE>8-K <SEQUENCE>1 <FILENAME>smsi-8k_20170929.htm <DESCRIPTION>8-K PREFERRED STOCK OFFERING <TEXT> Document 1 - file: smsi-8k_20170929.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-3.1 <SEQUENCE>2 <FILENAME>smsi-ex31_6.htm <DESCRIPTION>EX-3.1 CERTIFICATE OF DESIGNATION <TEXT> Document 2 - file: smsi-ex31_6.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.1 <SEQUENCE>3 <FILENAME>smsi-ex101_7.htm <DESCRIPTION>EX-10.1 SECURITIES PURCHASE AGREEMENT <TEXT> Document 3 - file: smsi-ex101_7.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.2 <SEQUENCE>4 <FILENAME>smsi-ex102_8.htm <DESCRIPTION>EX-10.2 REGISTRATION RIGHTS AGREEMENT <TEXT> Document 4 - file: smsi-ex102_8.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.1 <SEQUENCE>5 <FILENAME>smsi-ex991_9.htm <DESCRIPTION>EX-99.1 PRESS RELEASE PS DATED 10-03-17 <TEXT> Document 5 - file: smsi-ex991_9.htm
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>6 <FILENAME>g201710041649536281019.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 6 - file: g201710041649536281019.jpg
</DOCUMENT> </SEC-DOCUMENT>