SEC Form 4/A · accession 0001721614-18-000001
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
Steven B. Tucker
Director
Period of report
Nov 1, 2017
Accepted (ET)
Mar 8, 2018 · 4:17 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 | Nov 1, 2017 | A | 4,250 | — | A | 4,250 | I | By Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were omitted from the reporting person's original Form 4.
- F2Received in exchange for 5,000 shares of Capstone Bancshares, Inc. common stock in connection with the merger of Capstone Bancshares, Inc. 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.
Remarks
Exhibit List Exhibit 24-Power of Attorney