SEC Form 4 · accession 0001652521-15-000001
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
David Austin Ogle
Director
Period of report
Aug 31, 2015
Accepted (ET)
Sep 9, 2015 · 2:14 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 StockF1 | Aug 31, 2015 | A | 133,700 | — | A | 133,700 | D | |
| Common StockF1,F2 | Aug 31, 2015 | A | 37,600 | — | A | 37,600 | I | By Spouse |
| Common StockF1,F3 | Aug 31, 2015 | A | 36,800 | — | A | 36,800 | I | By Partnership |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF4 | $10.48 | Aug 31, 2015 | A | 8,042 | A | Jun 24, 2010 | Feb 22, 2017 | Common Stock | 8,042 | 8,042 | D |
| Stock OptionF5 | $9.52 | Aug 31, 2015 | A | 31,500 | A | Feb 22, 2007 | Feb 22, 2017 | Common Stock | 31,500 | 31,500 | D |
Explanation of responses
- F1Received in connection with the Merger. On August 31, 2015, the closing price of SmartFinancial, Inc.'s common stock was $3.85.
- F2The Reporting Person disclaims beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein.
- F3Shares owned by the Ogle Land General Partnership, of which Mr. Ogle is a partner.
- F4Received in the Merger in exchange for a stock option to acquire 7,659 shares of SmartFinancial, Inc. common stock for $11.00 per share.
- F5Received in the Merger in exchange for a stock option to acquire 30,000 shares of SmartFinancial, Inc. common stock for $10.00 per share.