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