Filing Details
- Accession Number:
- 0001340386-18-000002
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-03-08 18:07:17
- Reporting Period:
- 2018-03-06
- Accepted Time:
- 2018-03-08 18:07:17
- 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 | 5401 Kingston Pike Suite 600 Knoxville TN 37919 | 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 | 2018-03-06 | 5,000 | $21.70 | 14,167 | No | 4 | P | Indirect | By Elizabeth Houston Welborn Trust |
| Common Stock | Acquisiton | 2018-03-06 | 5,000 | $21.70 | 14,167 | No | 4 | P | Indirect | By Margaret Polfrey Welborn Trust |
| Common Stock | Acquisiton | 2018-03-06 | 5,000 | $21.70 | 14,167 | No | 4 | P | Indirect | By Ann Miller Welborn Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Elizabeth Houston Welborn Trust |
| No | 4 | P | Indirect | By Margaret Polfrey Welborn Trust |
| No | 4 | P | Indirect | By Ann Miller Welborn Trust |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 52,064 | Direct | |
| Common Stock | 4,725 | Indirect | By Spouse |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | $31.96 | 2009-03-01 | 2018-03-01 | 400 | 400 | Direct |
| Common Stock | Stock Option (right to buy) | $14.40 | 2010-03-01 | 2019-03-01 | 513 | 513 | Direct |
| Common Stock | Stock Option (right to buy) | $6.60 | 2013-03-01 | 2022-03-01 | 2,500 | 2,500 | Direct |
| Common Stock | Stock Option (right to buy) | $9.48 | 2014-03-01 | 2023-03-01 | 1,250 | 1,250 | Direct |
| Common Stock | Stock Option (right to buy) | $9.60 | 2015-03-01 | 2024-03-01 | 2,500 | 2,500 | Direct |
| Common Stock | Stock Option (right to buy) | $15.05 | 2017-09-30 | 2025-09-30 | 1,025 | 1,025 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2018-03-01 | 400 | 400 | Direct |
| 2019-03-01 | 513 | 513 | Direct |
| 2022-03-01 | 2,500 | 2,500 | Direct |
| 2023-03-01 | 1,250 | 1,250 | Direct |
| 2024-03-01 | 2,500 | 2,500 | Direct |
| 2025-09-30 | 1,025 | 1,025 | Direct |
Footnotes
- Fully vested.
- This stock option was granted on 09/30/2015. 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
