SEC Form 4 · accession 0001553541-16-000006
SMARTFINANCIAL INC. · SMBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John H Coxwell Sr.
Officer — EVP & COO
Period of report
Sep 23, 2016
Accepted (ET)
Sep 26, 2016 · 2:09 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 | Sep 23, 2016 | M | 3,750 | $9.48 | A | 13,137 | D | |
| Common Stock | Sep 23, 2016 | M | 6,250 | $9.60 | A | 19,387 | D | |
| Common Stock | Sep 23, 2016 | S | 10,000 | $16.25 | D | 9,387 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1 | $9.48 | Sep 23, 2016 | M | 3,750 | D | — | Mar 1, 2023 | Common Stock | 3,750 | 0 | D |
| Stock OptionF2 | $9.60 | Sep 23, 2016 | M | 6,250 | D | — | Mar 1, 2024 | Common Stock | 6,250 | 0 | D |
Explanation of responses
- F1This option was fully vested.
- F2This option was fully vested.