Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| SMARTFINANCIAL INC.SMBK · Entity 5068 | Chief Financial Officer | February 23, 2017 | March 20, 2019 |
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 February 23, 2017 · Filed March 20, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Appreciation RightSEC Table II · derivative / convertible security · Conversion / exercise price $21.72 · Expires 2020-12-31 | Direct | 2,000 |
Reported balance
After 2017-02-23 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-02-23 · Grant · Acquired 2,000 · Balance 2,000 F1: This stock appreciation right was granted on 02/23/2017. The stock appreciation right generally vests 100% on the third anniversary of the date of the grant, subject to Mr. Johnson's continuous service with the company or a subsidiary or affiliate of the company through such date. The stock appreciation right vests on an accelerated basis in full in the event of a change in control, again subject to Mr. Johnson's continuous service with the company or a subsidiary or affiliate of the company through the date of the change in control. |
| Stock Appreciation RightSEC Table II · derivative / convertible security · Conversion / exercise price $21.61 · Expires 2021-12-31 | Direct | 2,000 |
Reported balance
After 2018-01-25 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-01-25 · Grant · Acquired 2,000 · Balance 2,000 F2: This stock appreciation right was granted on 01/25/2018. The stock appreciation right generally vests 100% on the third anniversary of the date of the grant, subject to Mr. Johnson's continuous service with the company or a subsidiary or affiliate of the company through such date. The stock appreciation right vests on an accelerated basis in full in the event of a change in control, again subject to Mr. Johnson's continuous service with the company or a subsidiary or affiliate of the company through the date of the change in control. |
| Common StockSEC Table I · non-derivative | Direct | 10,225 |
Reported balance
Holding disclosure · report date 2017-02-23 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 10,225 |
Filing footnotes · ownership attribution and instrument terms
F1: This stock appreciation right was granted on 02/23/2017. The stock appreciation right generally vests 100% on the third anniversary of the date of the grant, subject to Mr. Johnson's continuous service with the company or a subsidiary or affiliate of the company through such date. The stock appreciation right vests on an accelerated basis in full in the event of a change in control, again subject to Mr. Johnson's continuous service with the company or a subsidiary or affiliate of the company through the date of the change in control.
F2: This stock appreciation right was granted on 01/25/2018. The stock appreciation right generally vests 100% on the third anniversary of the date of the grant, subject to Mr. Johnson's continuous service with the company or a subsidiary or affiliate of the company through such date. The stock appreciation right vests on an accelerated basis in full in the event of a change in control, again subject to Mr. Johnson's continuous service with the company or a subsidiary or affiliate of the company through the date of the change in control.
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 |
|---|---|---|---|---|---|---|
| November 02, 2018 Filed Nov 5, 2018 17:19 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | PurchaseCommon Stock | 975 | $20.43 | $19,919.25 |
DisclosureSEC source: 0001652517-18-000004 · primary_doc.xml · nonDerivative · entry 1 Johnson C Bryan · CIK 0001652517 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,225 Read SEC document |
| March 16, 2018 Filed Mar 16, 2018 23:29 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | PurchaseCommon Stock | 4,000 | $23.57 | $94,260.00 |
DisclosureSEC source: 0001652517-18-000003 · primary_doc.xml · nonDerivative · entry 1 Johnson C Bryan · CIK 0001652517 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,250 Read SEC document |
| January 25, 2018 Filed Mar 20, 2019 16:48 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | GrantStock Appreciation Right · Derivative | 2,000 | $0.00 Strike: $21.61 | $0.00 |
DisclosureSEC source: 0001652517-19-000001 · primary_doc.xml · derivative · entry 3 Johnson C Bryan · CIK 0001652517 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common Stock · 2,000 shares Expires 2021-12-31 F2 · derivative.exercise_date: This stock appreciation right was granted on 01/25/2018. The stock appreciation right generally vests 100% on the third anniversary of the date of the grant, subject to Mr. Johnson's continuous service with the company or a subsidiary or affiliate of the company through such date. The stock appreciation right vests on an accelerated basis in full in the event of a change in control, again subject to Mr. Johnson's continuous service with the company or a subsidiary or affiliate of the company through the date of the change in control. Read SEC document |
| January 09, 2018 Filed Jan 10, 2018 21:10 UTC Amendment | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionManagement Stock Option (right to buy) · Derivative | 2,000 | $0.00 Strike: $11.67 | $0.00 |
DisclosureSEC source: 0001652517-18-000002 · primary_doc.xml · derivative · entry 2 Johnson C Bryan · CIK 0001652517 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,000 shares Expires 2021-01-27 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · date: The original Form 4 incorrectly stated the transaction date in Column 3 of Table II. This amendment to the Form 4 is filed to reflect the correct transaction date in Column 3 of Table II. Read SEC document |
| January 09, 2018 Filed Jan 10, 2018 21:10 UTC Amendment | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionCommon Stock | 2,000 | $11.67 | $23,340.00 |
DisclosureSEC source: 0001652517-18-000002 · primary_doc.xml · nonDerivative · entry 1 Johnson C Bryan · CIK 0001652517 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,250 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · date: The original Form 4 incorrectly stated the transaction date in Column 2 of Table I. This amendment to the Form 4 is filed to reflect the correct transaction date in Column 2 of Table I. Read SEC document |
| September 01, 2017 Filed Sep 6, 2017 18:33 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionManagement Stock Option · Derivative | 1,250 | $0.00 Strike: $11.67 | $0.00 |
DisclosureSEC source: 0001652517-17-000001 · primary_doc.xml · derivative · entry 2 Johnson C Bryan · CIK 0001652517 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common Stock · 1,250 shares Expires 2021-01-27 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 01, 2017 Filed Sep 6, 2017 18:33 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionCommon Stock | 1,250 | $11.67 | $14,587.50 |
DisclosureSEC source: 0001652517-17-000001 · primary_doc.xml · nonDerivative · entry 1 Johnson C Bryan · CIK 0001652517 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,250 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 01, 2017 Filed Jan 10, 2018 20:29 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionManagement Stock Option (right to buy) · Derivative | 2,000 | $0.00 Strike: $11.67 | $0.00 |
DisclosureSEC source: 0001652517-18-000001 · primary_doc.xml · derivative · entry 2 Johnson C Bryan · CIK 0001652517 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,000 shares Expires 2021-01-27 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 23, 2017 Filed Mar 20, 2019 16:48 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | GrantStock Appreciation Right · Derivative | 2,000 | $0.00 Strike: $21.72 | $0.00 |
DisclosureSEC source: 0001652517-19-000001 · primary_doc.xml · derivative · entry 2 Johnson C Bryan · CIK 0001652517 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common Stock · 2,000 shares Expires 2020-12-31 F1 · derivative.exercise_date: This stock appreciation right was granted on 02/23/2017. The stock appreciation right generally vests 100% on the third anniversary of the date of the grant, subject to Mr. Johnson's continuous service with the company or a subsidiary or affiliate of the company through such date. The stock appreciation right vests on an accelerated basis in full in the event of a change in control, again subject to Mr. Johnson's continuous service with the company or a subsidiary or affiliate of the company through the date of the change in control. Read SEC document |
| January 09, 2017 Filed Jan 10, 2018 20:29 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionCommon Stock | 2,000 | $11.67 | $23,340.00 |
DisclosureSEC source: 0001652517-18-000001 · primary_doc.xml · nonDerivative · entry 1 Johnson C Bryan · CIK 0001652517 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,250 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 29, 2016 Filed Dec 29, 2016 22:34 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionManagement Stock Option · Derivative | 2,000 | $0.00 Strike: $11.67 | $0.00 |
DisclosureSEC source: 0001652517-16-000003 · primary_doc.xml · derivative · entry 2 Johnson C Bryan · CIK 0001652517 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,250 Underlying: Common Stock · 2,000 shares Expires 2021-01-27 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 29, 2016 Filed Dec 29, 2016 22:34 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionCommon Stock | 2,000 | $11.67 | $23,340.00 |
DisclosureSEC source: 0001652517-16-000003 · primary_doc.xml · nonDerivative · entry 1 Johnson C Bryan · CIK 0001652517 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. 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.