Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| SMARTFINANCIAL INC.SMBK · Entity 5068 | Director | January 23, 2020 | January 24, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
SMARTFINANCIAL INC.
Report date January 23, 2020 · Filed January 24, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 41,364 |
Reported balance
After 2020-01-23 transaction · row 1
1 source rowRow 1 · 2020-01-23 · Grant · Acquired 500 · Balance 41,364 |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $11.76 · Expires 2022-07-01 | Direct | 2,266 |
Reported balance
Holding disclosure · report date 2020-01-23 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 2,266 |
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 23, 2020 Filed Jan 24, 2020 15:05 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | GrantCommon Stock | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0001038773-20-000027 · wf-form4_157987830126503.xml · nonDerivative · entry 1 Wicks James Beaumont · CIK 0001721561 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,364 Read SEC document |
| January 24, 2019 Filed Jan 29, 2019 02:23 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | GrantCommon Stock | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0001721561-19-000001 · primary_doc.xml · nonDerivative · entry 1 Wicks James Beaumont · CIK 0001721561 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,864 Read SEC document |
| September 04, 2018 Filed Sep 6, 2018 14:05 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | PurchaseCommon Stock | 10,250 | $24.74 | $253,612.68 |
DisclosureSEC source: 0001721561-18-000005 · primary_doc.xml · nonDerivative · entry 1 Wicks James Beaumont · CIK 0001721561 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,364 Read SEC document |
| March 05, 2018 Filed Mar 6, 2018 22:38 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | PurchaseCommon Stock | 3,000 | $21.85 | $65,550.00 |
DisclosureSEC source: 0001721561-18-000004 · primary_doc.xml · nonDerivative · entry 1 Wicks James Beaumont · CIK 0001721561 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,114 Read SEC document |
| November 01, 2017 Filed Nov 3, 2017 20:04 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | GrantStock Option · Derivative | 2,266 | Not disclosed Strike: $11.76 | Not disclosed |
DisclosureSEC source: 0001721561-17-000004 · primary_doc.xml · derivative · entry 2 Wicks James Beaumont · CIK 0001721561 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,266 Underlying: Common Stock · 2,266 shares Expires 2022-07-01 F2 · price: Received in exchange for 2,666 options to purchase shares of Capstone Bancshares, Inc. common stock in connection with the Merger. Read SEC document |
| November 01, 2017 Filed Nov 3, 2017 20:04 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | GrantCommon Stock | 47,814 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001721561-17-000004 · primary_doc.xml · nonDerivative · entry 1 Wicks James Beaumont · CIK 0001721561 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,302 F1 · price: Received in exchange for 56,252 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. Read SEC document |
| November 01, 2017 Filed Feb 22, 2018 20:12 UTC Amendment | SMARTFINANCIAL INC. SMBK · Entity 5068 | GrantCommon Stock | 19,480 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001721561-18-000003 · primary_doc.xml · nonDerivative · entry 1 Wicks James Beaumont · CIK 0001721561 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,114 F1 · shares: Correcting previous number of 47,814 which failed to take into account the dissolution of the partnership which dispersed the shares, previously held by the partnership, pro rata to the partners. F2 · price: Received in exchange for 22,918 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. F3 · balance_after: This number is subsequently changed from 54,302 to 27,114 for the following reasons: (1) Footnote 1 and (2) the amendment to Form 3 filed February 21, 2018. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.