Filing Details

Accession Number:
0001340386-15-000003
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-10-16 18:35:08
Reporting Period:
2015-09-30
Filing Date:
2015-10-16
Accepted Time:
2015-10-16 18:35:08
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1038773 Smartfinancial Inc. SMBK National Commercial Banks (6021) 621173944
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1340386 Miller Wesley Welborn 6401 Lee Highway, Ste B
Chattanooga TN 37421
Chairman Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2015-09-30 3,075 $0.00 32,181 No 4 A Direct
Common Stock Acquisiton 2015-09-30 6,667 $15.00 6,667 No 4 P Indirect By Miller Welborn & Children Trust
Common Stock Acquisiton 2015-09-30 6,667 $15.00 6,667 No 4 P Indirect By Margaret Polfrey Welborn Trust
Common Stock Acquisiton 2015-09-30 6,667 $15.00 6,667 No 4 P Indirect By Elizabeth Houston Welborn Trust
Common Stock Acquisiton 2015-09-30 6,667 $15.00 6,667 No 4 P Indirect By Ann Miller Welborn Trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 P Indirect By Miller Welborn & Children Trust
No 4 P Indirect By Margaret Polfrey Welborn Trust
No 4 P Indirect By Elizabeth Houston Welborn Trust
No 4 P Indirect By Ann Miller Welborn Trust
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option Acquisiton 2015-09-30 1,025 $0.00 1,025 $15.05
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
8,188 2017-09-30 2025-09-30 No 4 A Direct
Footnotes
  1. On August 31, 2015, the Company effected a 1-for-4 reverse stock split of its common stock, with fractional shares being rounded up to the next whole share. Shares reported as being beneficially owned in this Form 4 have been adjusted for the reverse stock split.
  2. The stock option vests as follows: 50% on the second anniversary of the date of the grant and 50% on the third anniversary of the date of the grant.