SEC Form 4 · accession 0001652519-17-000001
SMARTFINANCIAL INC. · SMBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Young Carroll Sr.
Officer — Vice-Chairman · Director
Period of report
Jan 30, 2017
Accepted (ET)
Feb 1, 2017 · 5:42 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 | Jan 30, 2017 | M | 52,500 | $9.52 | A | 153,300 | D | |
| Common Stock | Jan 30, 2017 | M | 31,500 | $9.52 | A | 184,800 | D | |
| Common Stock | Jan 30, 2017 | M | 8,042 | $10.48 | A | 192,842 | D | |
| Common Stock | Jan 30, 2017 | S | 82,042 | $19.25 | D | 110,800 | 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 | $9.52 | Jan 30, 2017 | M | 52,500 | D | Feb 22, 2007 | Feb 22, 2017 | Common Stock | 52,500 | 0 | D |
| Stock Option | $9.52 | Jan 30, 2017 | M | 31,500 | D | Feb 22, 2007 | Feb 22, 2017 | Common Stock | 31,500 | 0 | D |
| Stock Option | $10.48 | Jan 30, 2017 | M | 8,042 | D | Jun 24, 2010 | Feb 22, 2017 | Common Stock | 8,042 | 0 | D |