0001415889-21-006079.txt : 20211217
0001415889-21-006079.hdr.sgml : 20211217
20211217170028
ACCESSION NUMBER: 0001415889-21-006079
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210222
FILED AS OF DATE: 20211217
DATE AS OF CHANGE: 20211217
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Petty Gary Wayne Jr
CENTRAL INDEX KEY: 0001434890
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37661
FILM NUMBER: 211502373
BUSINESS ADDRESS:
BUSINESS PHONE: 423-385-3054
MAIL ADDRESS:
STREET 1: 6401 LEE HIGHWAY SUITE B
CITY: CHATTANOOGA
STATE: TN
ZIP: 37421
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
4
1
form4-12172021_051202.xml
X0306
4
2021-02-22
0001038773
SMARTFINANCIAL INC.
SMBK
0001434890
Petty Gary Wayne Jr
5401 KINGSTON PIKE SUITE 600
KNOXVILLE
TN
37919
false
true
false
false
EVP & CHIEF RISK OFFICER
Common Stock
2021-02-22
4
M
0
3750
6.80
A
8052
D
Stock Option
6.80
2021-02-22
4
M
0
3750
0
D
2013-03-01
2021-03-01
Common Stock
3750
0
D
Stock Option
6.60
2014-03-01
2022-03-01
Common Stock
3750
3750
D
Stock Option
9.48
2015-03-01
2023-03-01
Common Stock
3750
3750
D
Stock Option
9.60
2016-03-01
2024-03-01
Common Stock
3750
3750
D
Stock Option
15.05
2017-09-30
2025-09-30
Common Stock
3588
3588
D
Stock Appreciation Right
21.61
2021-12-31
Common Stock
2000
2000
D
Fully vested.
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.
/s/ Glen Allen, Jr., Attorney-in-Fact
2021-12-17