SEC Form 4 · accession 0001652349-17-000001
SMARTFINANCIAL INC. · SMBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keith Edward Whaley
Director
Period of report
Feb 21, 2017
Accepted (ET)
Feb 23, 2017 · 6:22 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 Stock | Feb 21, 2017 | M | 26,250 | $9.52 | A | 70,040 | D | |
| Common Stock | Feb 21, 2017 | M | 6,702 | $10.48 | A | 76,742 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option | $9.52 | Feb 21, 2017 | M | 26,250 | D | Feb 22, 2007 | Feb 22, 2017 | Common Stock | 26,250 | 0 | D |
| Stock Option | $10.48 | Feb 21, 2017 | M | 6,702 | D | Jun 24, 2010 | Feb 22, 2017 | Common Stock | 6,702 | 0 | D |