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
- 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.
- 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.
Billionaire Hedge Funds
