0001652510-15-000001.txt : 20150909 0001652510-15-000001.hdr.sgml : 20150909 20150909135020 ACCESSION NUMBER: 0001652510-15-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150831 FILED AS OF DATE: 20150909 DATE AS OF CHANGE: 20150909 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: Carroll William Young Jr. CENTRAL INDEX KEY: 0001652510 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-30497 FILM NUMBER: 151098586 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 0001652510 Carroll William Young Jr. 5401 KINGSTON PIKE SUITE 600 KNOXVILLE TN 37919 1 1 0 0 President and CEO Common Stock 2015-08-31 4 A 0 44100 3.85 A 44100 D Stock Option 10.48 2015-08-31 4 A 0 8041.95 A 2010-06-24 2017-02-22 Common Stock 8041.95 8041.95 D Stock Option 9.52 2015-08-31 4 A 0 31500 A 2007-02-22 2017-02-22 Common Stock 31500 31500 D Management Stock Option 9.52 2015-08-31 4 A 0 52500 A 2007-02-22 2017-02-22 Common Stock 52500 52500 D Received in the Merger in exchange for a stock option to acquire 7,659 shares of SmartFinancial, Inc. common stock for $11.00 per share. Received in the Merger in exchange for a stock option to acquire 30,000 shares of SmartFinancial, Inc. common stock for $10.00 per share. Received in the Merger in exchange for a stock option to acquire 50,000 shares of SmartFinancial, Inc. common stock for $10.00 per share. Elizabeth Clippard, Attorney-in-fact 2015-09-09