SEC Form 4/A · accession 0001721561-18-000003
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
James Beaumont Wicks
Director
Period of report
Nov 1, 2017
Accepted (ET)
Feb 22, 2018 · 3:12 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,F2,F3 | Nov 1, 2017 | A | 19,480 | — | A | 27,114 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy) | $11.76 | holding | — | — | — | Jul 1, 2012 | Jul 1, 2022 | Common Stock | 2,266 | 2,266 | D |
Explanation of responses
- F1Correcting previous number of 47,814 which failed to take into account the dissolution of the partnership which dispersed the shares, previously held by the partnership, pro rata to the partners.
- F2Received in exchange for 22,918 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.
- F3This number is subsequently changed from 54,302 to 27,114 for the following reasons: (1) Footnote 1 and (2) the amendment to Form 3 filed February 21, 2018.
Remarks
Exhibit List Exhibit 24-Power of Attorney