UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 5 )*
Smith Micro Software, Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
832154108
(CUSIP Number)
12/31/2010
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
|
x ¨ ¨ |
Rule 13d-1(b) Rule 13d-1(c) Rule 13d-1(d) |
| * | The remainder of this cover page shall be filled out for a reporting person’s 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. |
| 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). |
CUSIP No. 832154108
13G
Page 2 of 7 Pages
| 1 | . | NAME OF REPORTING PERSON | |||||
| NorthPointe Capital, LLC | |||||||
| 2 | . | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | |||||
| (a) ¨ | |||||||
| (b) ¨ | |||||||
| 3 | . | SEC USE ONLY | |||||
| 4 | . | CITIZENSHIP OR PLACE OF ORGANIZATION | |||||
| Delaware | |||||||
| NUMBER OF | 5 | . | SOLE VOTING POWER | ||||
| SHARES | 648,190 | ||||||
| BENEFICIALLY | 6 | . | SHARED VOTING POWER | ||||
| OWNED BY | -0- | ||||||
| EACH | 7 | . | SOLE DISPOSITIVE POWER | ||||
| REPORTING | 794,841 | ||||||
| PERSON | 8 | . | SHARED DISPOSITIVE POWER | ||||
| WITH | -0- | ||||||
| 9. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| 794,841 | ||
| 10 | . | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES |
| CERTAIN SHARES* | ||
| ¨ | ||
| 11 | . | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) |
| 2.3% (see response to Item 4) | ||
| 12 | . | TYPE OF REPORTING PERSON*(see instructions) |
| IA |
*SEE INSTRUCTIONS BEFORE FILLING OUT
|
Page 3 of 7 Pages | |
|
Item 1(a). |
Name of Issuer: Smith Micro Software, Inc. |
|
Item 1(b). |
Address of Issuer's Principal Executive Offices: 51 Columbia Aliso Viejo, CA 92656 |
|
Item 2(a). Item 2(b). Item 2(c). |
Name of Persons Filing: Address of Principal Business Office, or if None, Residence: Citizenship: NorthPointe Capital, LLC 101 W. Big Beaver, Suite 745 Troy, MI 48084 (Delaware) |
|
Item 2(d). |
Title of Class of Securities: Common Stock |
|
Item 2(e). |
CUSIP Number: 832154108 |
Page 4 of 7 Pages
Item 3. 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:
| (a) | ¨ | Broker or dealer registered under Section 15 of the Exchange |
Act (15 U.S.C. 78o).
| (b) | ¨ Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c). |
| (c) | ¨ Insurance company as defined in Section 3(a)(19) of the |
| Exchange Act (15 U.S.C. 78c). | ||
| (d) | ¨ | Investment company registered under Section 8 of the |
| Investment Company Act of 1940 (15 U.S.C. 80a-8). | ||
| (e) | x | An investment adviser in accordance with §240.13d- |
| 1(b)(1)(ii)(E). | ||
| (f) | ¨ | An employee benefit plan or endowment fund in accordance |
| with §240.13d-1(b)(1)(ii)(F). | ||
| (g) | ¨ | A parent holding company or control person in accordance with |
| §240.13d-1(b)(1)(ii)(G). | ||
| (h) | ¨ | A savings association as defined in Section 3(b) of the Federal |
| Deposit Insurance Act (12 U.S.C. 1813); | ||
| (i) | ¨ | A church plan that is excluded from the definition of an |
| investment company under Section 3(c)(14) of the Investment | ||
| Company Act of 1940 (15 U.S.C. 80a-3); | ||
| (j) | ¨ | Group, in accordance with §240.13d-1(b)(1)(ii)(J). |
If this statement is filed pursuant to Rule 13d-1(c), check this box.¨
Page 5 of 7 Pages
Item 4.
Ownership **
The securities reported herein are beneficially owned by one or more open end investment companies or other managed accounts which are advised by NorthPointe Capital, LLC (“NorthPointe”), a registered investment adviser. Consistent with Rule 13d-4 under the Securities Exchange Act of 1934, this Schedule 13G shall not be construed as an admission that NorthPointe, or any other person, is the beneficial owner of any securities covered by this statement. Ownership is reported as of 12/31/2010.
| (a) | Amount beneficially owned: 794,841 | |
| (b) | Percent of class: 2.3% | |
| (c) | Number of shares as to which such person has: | |
| (i) | Sole power to vote or to direct the vote: 648,190 | |
| (ii) | Shared power to vote or to direct the vote: none. | |
| (iii) | Sole power to dispose or to direct the disposition of: 794,841 | |
| (iv) | Shared power to dispose or to direct the disposition of: none. | |
Page 6 of 7 Pages
Item 5. Ownership of Five Percent or Less of a Class.
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 five percent of the class of securities, check the followingx.
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
The clients of NorthPointe, including investment companies registered under the Investment Company Act of 1940 and other managed accounts, have the right to receive dividends from as well as the proceeds from the sale of such securities reported on this statement. As of 12/31/2010, no client’s interest related to more than 5%.
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company.
Not applicable.
Item 8. Identification and Classification of Members of the Group.
Not applicable.
Item 9. Notice of Dissolution of Group.
Not applicable.
Item 10. Certification.
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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.
Page 7 of 7 Pages
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.
Dated this 14th day of February, 2011.
NorthPointe Capital, LLC
By: /s/ Libby E. Liebig
Libby E. Liebig
Chief Compliance Officer