0001415889-21-000434.txt : 20210128 0001415889-21-000434.hdr.sgml : 20210128 20210128172106 ACCESSION NUMBER: 0001415889-21-000434 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210128 FILED AS OF DATE: 20210128 DATE AS OF CHANGE: 20210128 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Welborn Wesley Miller CENTRAL INDEX KEY: 0001340386 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37661 FILM NUMBER: 21566449 MAIL ADDRESS: STREET 1: 6401 LEE HIGHWAY, STE B CITY: CHATTANOOGA STATE: TN ZIP: 37421 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 form4-01282021_050153.xml X0306 4 2021-01-28 0001038773 SMARTFINANCIAL INC. SMBK 0001340386 Welborn Wesley Miller 5401 KINGSTON PIKE SUITE 600 KNOXVILLE TN 37919 true true false false CHAIRMAN OF THE BOARD Common Stock 2021-01-28 4 A 0 4400 0 A 68623 D Common Stock 14167 I By Margaret Polfrey Welborn Trust Common Stock 14167 I By Elizabeth Houston Welborn Trust Common Stock 14167 I By Ann Miller Welborn Trust Common Stock 4725 I By Spouse Stock Option 6.60 2013-03-01 2022-03-12 Common Stock 2500 2500 D Stock Option 9.48 2014-03-01 2023-03-12 Common Stock 1250 1250 D Stock Option 9.60 2015-03-01 2024-03-01 Common Stock 2500 2500 D Stock Option 15.05 2017-09-30 2025-09-30 Common Stock 1025 1025 D On March 9, 2020, pursuant to the issuer's 2015 Stock Incentive Plan (the "Plan"), the Board of Directors of the issuer approved grants of performance-based restricted stock. Up to 50% of the restricted shares could be earned if the issuer achieved certain core diluted earnings per share targets for the fiscal year ending December 31, 2020, and up to 50% of the restricted shares could be earned if the issuer achieved certain core return on average assets targets for the fiscal year ending December 31, 2020. On January 28, 2021, the Board of Directors determined that all performance goals were met and 100% of the performance-based restricted stock shares were earned. Fully Vested. /s/ Glen Allen, Jr., Attorney-in-Fact 2021-01-28