0001340386-15-000003.txt : 20151016
0001340386-15-000003.hdr.sgml : 20151016
20151016183508
ACCESSION NUMBER: 0001340386-15-000003
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150930
FILED AS OF DATE: 20151016
DATE AS OF CHANGE: 20151016
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SMARTFINANCIAL INC.
CENTRAL INDEX KEY: 0001038773
STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021]
IRS NUMBER: 621173944
STATE OF INCORPORATION: TN
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 5401 KINGSTON PIKE
STREET 2: SUITE 600
CITY: KNOXVILLE
STATE: TN
ZIP: 37919
BUSINESS PHONE: 866-290-2554
MAIL ADDRESS:
STREET 1: 5401 KINGSTON PIKE
STREET 2: SUITE 600
CITY: KNOXVILLE
STATE: TN
ZIP: 37919
FORMER COMPANY:
FORMER CONFORMED NAME: CORNERSTONE BANCSHARES INC
DATE OF NAME CHANGE: 19980402
FORMER COMPANY:
FORMER CONFORMED NAME: EAST RIDGE BANCSHARES INC
DATE OF NAME CHANGE: 19970507
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Welborn Wesley Miller
CENTRAL INDEX KEY: 0001340386
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30497
FILM NUMBER: 151162788
MAIL ADDRESS:
STREET 1: 6401 LEE HIGHWAY, STE B
CITY: CHATTANOOGA
STATE: TN
ZIP: 37421
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4
2015-09-30
0
0001038773
SMARTFINANCIAL INC.
SMBK
0001340386
Welborn Wesley Miller
6401 LEE HIGHWAY, STE B
CHATTANOOGA
TN
37421
1
1
0
0
Chairman
Common Stock
2015-09-30
4
A
0
3075
0
A
32181
D
Common Stock
2015-09-30
4
P
0
6667
15
A
6667
I
By Miller Welborn & Children Trust
Common Stock
2015-09-30
4
P
0
6667
15
A
6667
I
By Margaret Polfrey Welborn Trust
Common Stock
2015-09-30
4
P
0
6667
15
A
6667
I
By Elizabeth Houston Welborn Trust
Common Stock
2015-09-30
4
P
0
6667
15
A
6667
I
By Ann Miller Welborn Trust
Stock Option
15.05
2015-09-30
4
A
0
1025
0
A
2017-09-30
2025-09-30
Common Stock
1025
8188
D
On August 31, 2015, the Company effected a 1-for-4 reverse stock split of its common stock, with fractional shares being rounded up to the next whole share. Shares reported as being beneficially owned in this Form 4 have been adjusted for the reverse stock split.
The stock option vests as follows: 50% on the second anniversary of the date of the grant and 50% on the third anniversary of the date of the grant.
Elizabeth Clippard, Attorney-in-fact
2015-10-16