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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington , D.C. 20549 FORM 10 - K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31 , 2020 TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 01-35525 SMITH MICRO SOFTWARE , INC . ( Exact name of registrant as specified in its charter ) Delaware ( State or other jurisdiction of incorporation or organization ) 5800 Corporate Drive , Pittsburgh , PA ( Address of principal executive offices ) Title of each class Common Stock , par value $ 0.001 per share ooo 33-0029027 ( I.R.S. Employer Identification Number ) Registrant's telephone number , including area code : ( 412 ) 837-5300 Securities registered pursuant to Section 12 ( b ) of the Act : Trading Symbol ( s ) SMSI 15237 ( Zip Code ) Name of each exchange on which registered NASDAQ Securities registered pursuant to Section 12 ( g ) of the Act : None Indicate by check mark if the registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act . YES NO Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 YES □ NO > Indicate by check mark whether the registrant ( 1 ) has filed all reports required to be filed by Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 during the preceding 12 months ( or for such shorter period that the registrant was required to file such reports ) , and ( 2 ) has been subject to such filing requirements for the past 90 days . YES NO Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S - T ( § 232.405 of this chapter ) during the preceding 12 months ( or for such shorter period that the registrant was required to submit such files ) . YES NO Indicate by check mark if whether the registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , smaller reporting company , or an emerging growth company . See definition of " accelerated filer " , " large accelerated filer " , " smaller reporting company " , and " emerging growth company " in Rule 12b - 2 of the Exchange Act . ■ Large accelerated filer Non - accelerated filer Accelerated filer Smaller reporting company Emerging growth company If an emerging growth company , indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13 ( a ) of the Exchange Act . Indicate by check mark whether the registrant has filed a report on and attestation to its management's assessment of the effectiveness of its internal control over financial reporting under Section 404 ( b ) of the Sarbanes - Oxley Act ( 15 U.S.C. 7262 ( b ) ) by the registered public accounting firm that prepared or issued its audit report . □ Indicate by check mark whether the registrant is a shell company ( as defined in Rule 12b - 2 of the Act ) . YES NO As of June 30 , 2020 , the last business day of the registrant's most recently completed second quarter , the aggregate market value of the common stock of the registrant held by non - affiliates was $ 150,928,875 based upon the closing sale price of such stock as reported on the Nasdaq Capital Market on that date . For purposes of such calculation , only executive officers , board members , and beneficial owners of more than 10 % of the registrant's outstanding common stock are deemed to be affiliates . As of March 2 , 2021 , there were 42,216,795 shares of common stock outstanding . DOCUMENTS INCORPORATED BY REFERENCE Portions of the registrant's Proxy Statement for the 2021 Annual Meeting of Stockholders to be filed under the Securities Exchange Act of 1934 are incorporated by reference in Part III of this report .