0001652714-15-000002.txt : 20150910 0001652714-15-000002.hdr.sgml : 20150910 20150910191628 ACCESSION NUMBER: 0001652714-15-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150831 FILED AS OF DATE: 20150910 DATE AS OF CHANGE: 20150910 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SMARTFINANCIAL INC. CENTRAL INDEX KEY: 0001038773 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 621173944 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: Davis Gregory L. CENTRAL INDEX KEY: 0001652714 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-30497 FILM NUMBER: 151102095 MAIL ADDRESS: STREET 1: 5401 KINGSTON PIKE STREET 2: SUITE 600 CITY: KNOXVILLE STATE: TN ZIP: 37919 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2015-08-31 0 0001038773 SMARTFINANCIAL INC. CSBQ 0001652714 Davis Gregory L. 5401 KINGSTON PIKE SUITE 600 KNOXVILLE TN 37919 0 1 0 0 Chief Lending Officer and EVP Common Stock 2015-08-31 4 J 0 22670 A 22670 D Management Stock Option 9.52 2015-08-31 4 J 0 21000 A 2007-02-22 2017-02-22 Common Stock 21000 21000 D Management Stock Option 10.48 2015-08-31 4 J 0 5361.3 A 2010-06-24 2020-06-24 Common Stock 5361.3 5361.3 D Received in exchange for 21,590 shares of SmartFinancial, Inc. common stock in connection with the merger (the "Merger") of SmartFinancial, Inc. ("Legacy SmartFinancial") with and into Cornerstone Bancshares, Inc. (now renamed "SmartFinancial, Inc."). On August 31, 2015, the closing price of SmartFinancial, Inc.'s common stock was $3.85. Received in the Merger in exchange for a stock option to acquire 20,000 shares of Legacy SmartFinancial common stock for $10.00 per share. Received in the Merger in exchange for a stock option to acquire 5,106 shares of Legacy SmartFinancial common stock for $11.00 per share. Elizabeth Clippard, Attorney-in-fact 2015-09-10