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SMARTFINANCIAL INC. — Director's Dealing 2021
Dec 17, 2021
32627_dirs_2021-12-17_6468552d-1e39-48dd-b14a-af383e6d0815.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: 2021-02-22
Reporting Person: Petty Gary Wayne Jr (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-02-22 | Common Stock | M | 3750 | $6.80 | Acquired | 8052 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-02-22 | Stock Option | $6.80 | M | 3750 | Disposed | 2021-03-01 | Common Stock (3750) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option | $6.60 | 2022-03-01 | Common Stock (3750) | 3750 | Direct |
| Stock Option | $9.48 | 2023-03-01 | Common Stock (3750) | 3750 | Direct |
| Stock Option | $9.60 | 2024-03-01 | Common Stock (3750) | 3750 | Direct |
| Stock Option | $15.05 | 2025-09-30 | Common Stock (3588) | 3588 | Direct |
| Stock Appreciation Right | $21.61 | 2021-12-31 | Common Stock (2000) | 2000 | Direct |
Footnotes
F1: Fully vested.
F2: This stock appreciation right was granted on 01/25/2018. The stock appreciation right generally vests 100% on the third anniversary of the date of the grant, subject to Mr. Petty's continuous service with the company or a subsidiary or affiliate of the company through such date. The stock appreciation right vests on an accelerated basis in full in the event of a change in control, again subject to Mr. Petty's continuous service with the company or a subsidiary or affiliate of the company through the date of the change in control.