SEC Form 4/A · accession 0001721742-18-000002
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
Robert Wade Kuhn Jr.
Officer — Regional President - SmartBank
Period of report
Sep 6, 2018
Accepted (ET)
Sep 10, 2018 · 4:51 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 StockF3 | Sep 6, 2018 | M | 17,000 | $11.76 | A | 17,510 | D | |
| Common StockF3 | Sep 6, 2018 | M | 17,000 | $11.76 | A | 34,510 | D | |
| Common StockF3 | 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 OptionF3,F1 | $11.76 | Sep 6, 2018 | M | 17,000 | D | Jan 27, 2009 | Jan 27, 2019 | Common Stock | 17,000 | 0 | D |
| Stock OptionF3,F2 | $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.
- F3This Form 4 amends the Form 4 previously filed September 10, 2018. The purpose of this amendment is to add a power of attorney. Consequently, the transaction reported on the previously filed Form 4 dated September 10, 2018, is re-reported here in this amendment.
Remarks
Exhibit List Ex-24 Power of Attorney