0001721742-18-000002.txt : 20180910 0001721742-18-000002.hdr.sgml : 20180910 20180910165154 ACCESSION NUMBER: 0001721742-18-000002 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180906 FILED AS OF DATE: 20180910 DATE AS OF CHANGE: 20180910 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kuhn Robert Wade Jr. CENTRAL INDEX KEY: 0001721742 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-37661 FILM NUMBER: 181063264 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/A 1 primary_doc.xml PRIMARY DOCUMENT X0306 4/A 2018-09-06 2018-09-10 0 0001038773 SMARTFINANCIAL INC. SMBK 0001721742 Kuhn Robert Wade Jr. 5401 KINGSTON PIKE SUITE 600 KNOXVILLE TN 37919 0 1 0 0 Regional President - SmartBank Common Stock 2018-09-06 4 M 0 17000 11.76 A 17510 D Common Stock 2018-09-06 4 M 0 17000 11.76 A 34510 D Common Stock 2018-09-06 4 S 0 34000 24 D 510 D Stock Option 11.76 2018-09-06 4 M 0 17000 D 2009-01-27 2019-01-27 Common Stock 17000 0 D Stock Option 11.76 2018-09-06 4 M 0 17000 D 2010-02-01 2020-02-01 Common Stock 17000 0 D Received in exchange for 20,000 options to purchase shares of Capstone Bancshares, Inc. common stock in connection with the merger of Capstone Bancshares, Inc. with and into SmartFinancial, Inc. (the "Merger"). Received in exchange for 20,000 options to purchase shares of Capstone Bancshares, Inc. common stock in connection with the Merger. This Form 4 amends the Form 4 previously filed September 10, 2018. The purpose of this amendment is to add a power of attorney. Consequently, the transaction reported on the previously filed Form 4 dated September 10, 2018, is re-reported here in this amendment. Exhibit List Ex-24 Power of Attorney William Bettis, Attorney-in-Fact 2018-09-10 EX-24 2 rwkpoa.txt POWER OF ATTORNEY Exhibit 24 SmartFinancial, Inc. Limited Power of Attorney For Section 16 Reporting Obligations Know all by these presents, that the undersigned hereby makes, constitutes and appoints Elizabeth W. Sims, William Bettis,and Adam Smith each acting as the undersigned's true and lawful attorney-in-fact, with full power and authority as hereinafter described on behalf of and in the name, place and stead of the undersigned to: (1) prepare, execute, acknowledge, deliver and file Forms 3, 4, and 5 (including any amendments thereto) with respect to the securities of SmartFinancial, Inc., a Tennessee corporation (the "Corporation"), with the United States Securities and Exchange Commission, any national securities exchanges and the Corporation, as considered necessary or adviseable under Section 16(a) of the Securities Exchange Act of 1934 and the rules and regulations promulgated thereunder, as amended from time to time (the "Exchange Act"); (2) seek or obtain, as the undersigned's representative and on the undersigned's behalf information on transactions in the Corporation's securities from any third party, including brokers, employee benefit plan administrators and trustees, and the undersigned hereby authorizes any such person to release any such information to each of the undersigned's attorneys-in-fact appointed by this Limited Power of Attorney and approves and ratifies any such release of information; and (3) perform any and all other acts which in the discretion of such attorney-in-fact are necessary or desirable for and on behalf of the undersigned in connection with the foregoing. The undersigned acknowledges that: (1) this Limited Power of Attorney authorizes, but does not require, each such attorney-in-fact to act in their discretion on information provided to such attorney-in-fact without independent verification of such information; (2) any documents prepared and/or executed by either such attorney-in -fact on behalf of the undersigned pursuant to this Power of Attorney will be in such form and will contain such information and disclosure as such attorney-in-fact, in his or her discretion, deems necessary or desirable; (3) neither the Corporation nor either of such attorneys- in-fact assumes (i) any liability for the undersigned's responsibility to comply with the requirements of the Exchange Act, (ii) any liability of the undersigned for any failure to comply with such requiements, or (iii) any liability of the undersigned for profit disgorgement under Section 16(b) of the Exchange Act; and (4) this Limited Power of Attorney does not relieve the undersigned from responsibility for compliance with the undersigned's obligations under the Exchange Act, including without limitation the reporting requirements under Section 16 of the Exchange Act. The undersigned hereby gives and grants each of the foregoing attorneys-in-fact full power and authority to do and perform all and every act and thing whatsoever requisite, necessary or appropriate to be done in and about the foregoing matters as fully to all intents and purposes as the undersigned might or could do if present, hereby ratifying all that each such attorney-in-fact of, for and on behalf of the undersigned, shall lawfully do or cause to be done by virtue of this Limited Power of Attorney. This Limited Power of Attorney shall remain in full force and effect until revoked by the undersigned in a signed writing delivered to each such attorney-in-fact. In WITNESS WHEREOF, the undersigned has caused this Limited Power of Attorney to be executed as of this 10th day of September, 2018. /s/ Robert W. Kuhn, Jr.