SEC Form 4 · accession 0001721561-17-000004
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
James Beaumont Wicks
Director
Period of report
Nov 1, 2017
Accepted (ET)
Nov 3, 2017 · 4:04 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 | Nov 1, 2017 | A | 47,814 | — | A | 54,302 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2 | $11.76 | Nov 1, 2017 | A | 2,266 | A | Jul 1, 2012 | Jul 1, 2022 | Common Stock | 2,266 | 2,266 | D |
Explanation of responses
- F1Received in exchange for 56,252 shares of Capstone Bancshares, Inc. common stock in connection with the merger of Capstone Bancshares, Inc. with and into SmartFinancial, Inc. (the "Merger"). On the effective date of the Merger, the last known purchase price of Capstone Bancshares, Inc.'s common stock was $11.05 per share, and the closing price of SmartFinancial, Inc.'s common stock was $23.26 per share.
- F2Received in exchange for 2,666 options to purchase shares of Capstone Bancshares, Inc. common stock in connection with the Merger.