SEC Form 4 · accession 0001721742-18-000001
SMARTFINANCIAL INC. · SMBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Wade Kuhn Jr.
Officer — Regional President - SmartBank
Period of report
Sep 6, 2018
Accepted (ET)
Sep 10, 2018 · 10:57 am 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 Stock | Sep 6, 2018 | M | 17,000 | $11.76 | A | 17,510 | D | |
| Common Stock | Sep 6, 2018 | M | 17,000 | $11.76 | A | 34,510 | D | |
| Common Stock | Sep 6, 2018 | S | 34,000 | $24.00 | D | 510 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1 | $11.76 | Sep 6, 2018 | M | 17,000 | D | Jan 27, 2009 | Jan 27, 2019 | Common Stock | 17,000 | 0 | D |
| Stock OptionF2 | $11.76 | Sep 6, 2018 | M | 17,000 | D | Feb 1, 2010 | Feb 1, 2020 | Common Stock | 17,000 | 0 | D |
Explanation of responses
- F1Received in exchange for 20,000 options to purchase shares of Capstone Bancshares, Inc. common stock in connection with the merger of Capstone Bancshares, Inc. with and into SmartFinancial, Inc. (the "Merger").
- F2Received in exchange for 20,000 options to purchase shares of Capstone Bancshares, Inc. common stock in connection with the Merger.