SEC Form 4 · accession 0001340386-15-000003

SMARTFINANCIAL INC. · SMBK

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chairman · Director

Period of report

Sep 30, 2015

Accepted (ET)

Oct 16, 2015 · 6:35 pm EDT

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 Stock^F1	Sep 30, 2015	A	3,075	$0.00	A	32,181	D
Common Stock	Sep 30, 2015	P	6,667	$15.00	A	6,667	I	By Miller Welborn & Children Trust
Common Stock	Sep 30, 2015	P	6,667	$15.00	A	6,667	I	By Margaret Polfrey Welborn Trust
Common Stock	Sep 30, 2015	P	6,667	$15.00	A	6,667	I	By Elizabeth Houston Welborn Trust
Common Stock	Sep 30, 2015	P	6,667	$15.00	A	6,667	I	By Ann Miller Welborn Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option^F2	$15.05	Sep 30, 2015	A	1,025	A	Sep 30, 2017	Sep 30, 2025	Common Stock	1,025	8,188	D

F1On 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.
F2The 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.