SEC Form 4/A · accession 0001652517-18-000002
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
C Bryan Johnson
Officer — Chief Financial Officer
Period of report
Jan 9, 2018
Accepted (ET)
Jan 10, 2018 · 4:10 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 | Jan 9, 2018 | M | 2,000 | $11.67 | A | 5,250 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Management Stock Option (right to buy)F2 | $11.67 | Jan 9, 2018 | M | 2,000 | D | Jan 27, 2011 | Jan 27, 2021 | Common Stock | 2,000 | 0 | D |
Explanation of responses
- F1The original Form 4 incorrectly stated the transaction date in Column 2 of Table I. This amendment to the Form 4 is filed to reflect the correct transaction date in Column 2 of Table I.
- F2The original Form 4 incorrectly stated the transaction date in Column 3 of Table II. This amendment to the Form 4 is filed to reflect the correct transaction date in Column 3 of Table II.