Amended Statement of Ownership (sc 13g/a)
February 13 2019 - 4:29PM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2
(Amendment No. 3)*
Smith Micro
Software, Inc.
(Name of Issuer)
Common Stock
(Title of
Class of Securities)
832154207
(CUSIP Number)
December
31, 2018
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
☐ Rule 13d-1(b)
☒
Rule 13d-1(c)
☐ Rule 13d-1(d)
*
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The remainder of this cover page shall be filled out for a reporting persons initial filing on this form
with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
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The information required in the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the
Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however,
see
the
Notes
).
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CUSIP No. 832154207
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13G
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Page 1 of 5 Pages
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1.
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NAMES OF
REPORTING PERSONS
Thomas A. Satterfield, Jr.
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2.
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CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP
(a) ☐ (b) ☐
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3.
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SEC USE ONLY
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4.
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CITIZENSHIP OR PLACE OF
ORGANIZATION
United States of America
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NUMBER OF SHARES
BENEFICIALLY OWNED BY EACH REPORTING PERSON
WITH
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5.
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SOLE VOTING POWER
53,750
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6.
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SHARED VOTING POWER
1,205,700
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7.
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SOLE DISPOSITIVE POWER
53,750
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8.
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SHARED DISPOSITIVE POWER
1,205,700
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9.
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,259,450
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10.
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CHECK BOX IF THE AGGREGATE AMOUNT IN
ROW (9) EXCLUDES CERTAIN SHARES ☐
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11.
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PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW 9
5.0%*
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12.
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TYPE OF REPORTING PERSON
IN
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Based on 25,027,129 shares of common stock of the issuer outstanding as of October 23, 2018, as reported by the
issuer in its Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2018, filed with the Securities and Exchange Commission on October 26, 2018.
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CUSIP No. 832154207
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13G
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Page 2 of 5 Pages
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SCHEDULE 13G
Smith Micro Software, Inc.
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(b)
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Address of Issuers Principal Executive Offices:
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51 Columbia
Aliso Viejo,
California 92656
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(a)
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Name of Person Filing:
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Thomas A. Satterfield, Jr.
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(b)
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Address of Principal Business Office or, if none, Residence:
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Thomas A. Satterfield
2609
Caldwell Mill Lane
Birmingham, Alabama 35243
Incorporated by reference from Item 4 of the Cover Pages.
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(d)
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Title of Class of Securities:
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Incorporated by reference from the Cover Pages.
Incorporated by reference from the Cover Pages.
Item 3.
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If this statement is filed pursuant to §§
240.13d-1(b)
or
§§
240.13d-2(b)
or (c), check whether the person filing is a:
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Not
Applicable.
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(a)
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Amount beneficially owned:
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Incorporated by reference from Item 9 of the Cover Pages.
Incorporated by reference from Item 11 of the Cover Pages.
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CUSIP No. 832154207
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13G
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Page 3 of 5 Pages
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(c)
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Number of shares as to which such person has:
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(i)
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Sole power to vote or to direct the vote
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Incorporated by reference from Item 5 of the Cover Pages.
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(ii)
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Shared power to vote or to direct the vote
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Incorporated by reference from Item 6 of the Cover Pages.
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(iii)
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Sole power to dispose or to direct the disposition of
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Incorporated by reference from Item 7 of the Cover Pages.
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(iv)
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Shared power to dispose or to direct the disposition of
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Incorporated by reference from Item 8 of the Cover Pages.
Item 5.
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Ownership of Five Percent or Less of a Class.
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If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of
more than 5 percent of the class of securities, check the following ☐.
Item 6.
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Ownership of More than Five Percent on Behalf of Another Person.
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With respect to the beneficial ownership reported for Thomas A. Satterfield, Jr., 18,000 shares are held jointly with Rebecca S. Satterfield,
Mr. Satterfields spouse; 5,000 shares are held by Mr. Satterfields spouse in her individual capacity; 150,000 shares are held by Tomsat Investment & Trading Co., Inc., a corporation wholly owned by Mr. Satterfield
and of which he serves as President; and 525,200 shares are held by Caldwell Mill Opportunity Fund, which fund is managed by an entity of which Mr. Satterfield owns a 50% interest and serves as Chief Investment Manager.
Additionally, Mr. Satterfield has limited powers of attorney for voting and disposition purposes with respect to the following shares:
A.G. Family L.P. (490,000 shares); David A. Satterfield (5,000 shares); and Jeanette Satterfield Kaiser (12,500 shares). These individuals and entities have the right to receive or the power to direct the receipt of the proceeds from the sale of
their respective shares.
Item 7.
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the
Parent Holding Company or Control Person.
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Not Applicable.
Item 8.
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Identification and Classification of Members of the Group.
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Not Applicable.
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CUSIP No. 832154207
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13G
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Page 4 of 5 Pages
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Item 9.
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Notice of Dissolution of Group.
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Not Applicable.
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held
for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than
activities solely in connection with a nomination under §
240.14a-11.
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CUSIP No. 832154207
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13G
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Page 5 of 5 Pages
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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.
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February 13, 2019
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Date
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/s/ Thomas A. Satterfield, Jr.
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Thomas A. Satterfield, Jr.
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