SEC Form 4 · accession 0001652465-15-000002
SMARTFINANCIAL INC. · SMBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Monique Berke
Director
Period of report
Sep 11, 2015
Accepted (ET)
Oct 16, 2015 · 5:02 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 11, 2015 | A | 2,500 | $0.00 | A | 2,500 | D | |
| Common Stock | Sep 30, 2015 | A | 513 | $0.00 | A | 3,013 | 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 | $15.05 | Sep 30, 2015 | A | 1,025 | A | Sep 30, 2017 | Sep 30, 2025 | Common Stock | 1,025 | 1,025 | D |
Explanation of responses
- F1The stock option vests as follows: 50% at the second anniversary of the date of grant and 50% at the third anniversary of the date of grant.