Filing Details
- Accession Number:
- 0001721742-18-000001
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-09-10 10:57:44
- Reporting Period:
- 2018-09-06
- Accepted Time:
- 2018-09-10 10:57:44
- 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 |
|---|---|---|---|---|---|---|---|
| 1721742 | Jr. Wade Robert Kuhn | 5401 Kingston Pike Suite 600 Knoxville TN 37919 | Regional President - Smartbank | No | 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 | 2018-09-06 | 17,000 | $11.76 | 17,510 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-09-06 | 17,000 | $11.76 | 34,510 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-09-06 | 34,000 | $24.00 | 510 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option | Disposition | 2018-09-06 | 17,000 | $0.00 | 17,000 | $11.76 |
| Common Stock | Stock Option | Disposition | 2018-09-06 | 17,000 | $0.00 | 17,000 | $11.76 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2009-01-27 | 2019-01-27 | No | 4 | M | Direct |
| 0 | 2010-02-01 | 2020-02-01 | No | 4 | M | Direct |
Footnotes
- Received in exchange for 20,000 options to purchase shares of Capstone Bancshares, Inc. common stock in connection with the merger of Capstone Bancshares, Inc. with and into SmartFinancial, Inc. (the "Merger").
- Received in exchange for 20,000 options to purchase shares of Capstone Bancshares, Inc. common stock in connection with the Merger.
Billionaire Hedge Funds
