0001721561-17-000002.txt : 20171103 0001721561-17-000002.hdr.sgml : 20171103 20171103153736 ACCESSION NUMBER: 0001721561-17-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171101 FILED AS OF DATE: 20171103 DATE AS OF CHANGE: 20171103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kuhn Robert Wade Jr. CENTRAL INDEX KEY: 0001721742 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37661 FILM NUMBER: 171176273 MAIL ADDRESS: STREET 1: 13397 NORTH RIVER FARM DRIVE CITY: NORTHPORT STATE: AL ZIP: 35473 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 primary_doc.xml PRIMARY DOCUMENT X0306 4 2017-11-01 0 0001038773 SMARTFINANCIAL INC. SMBK 0001721742 Kuhn Robert Wade Jr. 13397 NORTH RIVER FARM DRIVE NORTHPORT AL 35473 0 1 0 0 Regional President - SmartBank Common Stock 2017-11-01 4 A 0 510 A 510 D Stock Option 11.76 2017-11-01 4 A 0 17000 A 2009-01-27 2019-01-27 Common Stock 17000 17000 D Stock Option 11.76 2017-11-01 4 A 0 17000 A 2010-02-01 2020-02-01 Common Stock 17000 17000 D Received in exchange for 600 shares of Capstone Bancshares, Inc. common stock in connection with the merger of Capstone Bancshares, Inc. with and into SmartFinancial, Inc. (the "Merger"). On the effective date of the Merger, the last known purchase price of Capstone Bancshares, Inc.'s common stock was $11.05 per share, and the closing price of SmartFinancial, Inc.'s common stock was $23.26 per share. Received in exchange for 20,000 options to purchase shares of Capstone Bancshares, Inc. common stock in connection with the Merger. Received in exchange for 20,000 options to purchase shares of Capstone Bancshares, Inc. common stock in connection with the Merger. Elizabeth Clippard, Attorney-in-fact 2017-11-03