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SMARTFINANCIAL INC. — Director's Dealing 2018
Sep 10, 2018
32627_dirs_2018-09-10_25b7ab94-c4a1-43b8-8b26-08e03667a975.zip
Director's Dealing
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SEC Form 4/A — Form 4/A
Issuer: SMARTFINANCIAL INC. (SMBK)
CIK: 0001038773
Period of Report: 2018-09-06
Reporting Person: Kuhn Robert Wade Jr. (Regional President - SmartBank)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-09-06 | Common Stock | M | 17000 | $11.76 | Acquired | 17510 | Direct |
| 2018-09-06 | Common Stock | M | 17000 | $11.76 | Acquired | 34510 | Direct |
| 2018-09-06 | Common Stock | S | 34000 | $24 | Disposed | 510 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-09-06 | Stock Option | $11.76 | M | 17000 | Disposed | 2019-01-27 | Common Stock (17000) | Direct |
| 2018-09-06 | Stock Option | $11.76 | M | 17000 | Disposed | 2020-02-01 | Common Stock (17000) | Direct |
Footnotes
F1: Received 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").
F2: Received in exchange for 20,000 options to purchase shares of Capstone Bancshares, Inc. common stock in connection with the Merger.
F3: This 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.