0001434890-15-000017.txt : 20151002 0001434890-15-000017.hdr.sgml : 20151002 20151002214324 ACCESSION NUMBER: 0001434890-15-000017 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151002 DATE AS OF CHANGE: 20151002 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: Petty Gary Wayne Jr CENTRAL INDEX KEY: 0001434890 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-30497 FILM NUMBER: 151141956 BUSINESS ADDRESS: BUSINESS PHONE: 423-385-3054 MAIL ADDRESS: STREET 1: 6401 LEE HIGHWAY SUITE B CITY: CHATTANOOGA STATE: TN ZIP: 37421 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2015-09-30 0 0001038773 SMARTFINANCIAL INC. SMBK 0001434890 Petty Gary Wayne Jr 6401 LEE HIGHWAY SUITE B CHATTANOOGA TN 37421 0 0 0 1 VP and Chief Risk Officer Stock Option 15.05 2015-09-30 4 A 0 3588 0 A 2017-09-30 2025-09-30 Common Stock 3588 20963 D On August 31, 2015 the Company effected a 1-for-4 reverse stock split, 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. Felicia F. Barbee, as Attorney-in-fact 2015-10-02