0001217555-15-000003.txt : 20151016 0001217555-15-000003.hdr.sgml : 20151016 20151016181002 ACCESSION NUMBER: 0001217555-15-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151016 DATE AS OF CHANGE: 20151016 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: HUGHES NATHANIEL F CENTRAL INDEX KEY: 0001217555 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-30497 FILM NUMBER: 151162765 MAIL ADDRESS: STREET 1: 108 CRANDALL AVE CITY: LOOKOUT MOUNTAIN STATE: TN ZIP: 37350 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2015-09-30 0 0001038773 SMARTFINANCIAL INC. SMBK 0001217555 HUGHES NATHANIEL F 108 CRANDALL AVE LOOKOUT MOUNTAIN TN 37350 0 1 0 0 EVP & Investment Officer Common Stock 2015-09-30 4 P 0 12172 15 A 16161 D Stock Option 15.05 2015-09-30 4 A 0 4100 0 A 2017-09-30 2025-09-20 Common Stock 4100 33725 D On August 31, 2015, the Company effected a 1-for-4 reverse stock split of its common stock, 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. The stock option vests as follows: 30% on the second anniversary of the date of the grant, 60% on the third anniversary, and 100% on the fourth anniversary. Elizabeth Clippard, Attorney-in-fact 2015-10-16