SEC Form 4/A · accession 0001217555-16-000004
SMARTFINANCIAL INC. · SMBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Nathaniel F Hughes
Officer — EVP & Investment Officer
Period of report
Sep 30, 2015
Accepted (ET)
Jan 4, 2016 · 1:39 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001038773
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 30,336 | D | ||
| Common Stock | holding | — | — | — | 15,826 | I | By IRA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1In adjusting for SmartFinancial, Inc.'s 1-for-4 reverse stock split, the Form 4 filed on October 16, 2015 incorrectly reported direct ownership of only 16,161 shares of common stock. Mr. Hughes' direct common stock ownership is equal to 30,336 shares of common stock.