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SMARTFINANCIAL INC. — Director's Dealing 2017
Nov 3, 2017
32627_dirs_2017-11-03_d015c5c3-372b-49f6-bf99-f169941ef090.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SMARTFINANCIAL INC. (SMBK)
CIK: 0001038773
Period of Report: 2017-11-01
Reporting Person: Kuhn Robert Wade Jr. (Regional President - SmartBank)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-11-01 | Common Stock | A | 510 | — | Acquired | 510 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-11-01 | Stock Option | $11.76 | A | 17000 | Acquired | 2019-01-27 | Common Stock (17000) | Direct |
| 2017-11-01 | Stock Option | $11.76 | A | 17000 | Acquired | 2020-02-01 | Common Stock (17000) | Direct |
Footnotes
F1: Received in exchange for 600 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.
F2: Received in exchange for 20,000 options to purchase shares of Capstone Bancshares, Inc. common stock in connection with the Merger.
F3: Received in exchange for 20,000 options to purchase shares of Capstone Bancshares, Inc. common stock in connection with the Merger.