SEC Form 4 · accession 0001652521-17-000001
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
Feb 10, 2017
Accepted (ET)
Feb 10, 2017 · 6:40 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 10, 2017 | M | 31,500 | $9.52 | A | 165,200 | D | |
| Common Stock | Feb 10, 2017 | M | 8,042 | $10.48 | A | 173,242 | D | |
| Common StockF1 | holding | — | — | — | 37,600 | I | By Spouse | |
| Common StockF2 | holding | — | — | — | 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 Option | $9.52 | Feb 10, 2017 | M | 31,500 | D | Feb 22, 2007 | Feb 22, 2017 | Common Stock | 31,500 | 0 | D |
| Stock Option | $10.48 | Feb 10, 2017 | M | 8,042 | D | Jun 24, 2010 | Feb 22, 2017 | Common Stock | 8,042 | 0 | D |
Explanation of responses
- F1The Reporting Person disclaims beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein.
- F2Shares owned by the Ogle Land General Partnership, of which Mr. Ogle is a partner.