Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| SMARTFINANCIAL INC.SMBK · Entity 5068 | Regional President - SmartBank | September 06, 2018 | September 10, 2018 |
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 September 06, 2018 · Filed September 10, 2018 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 510 |
Last balance in matching sequence
After 2018-09-06 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2018-09-06 · Exercise / conversion · Acquired 17,000 · Balance 17,510 F3: This Form 4 amends the Form 4 previously filed September 10, 2018. The purpose of this amendment is to add a power of attorney. Consequently, the transaction reported on the previously filed Form 4 dated September 10, 2018, is re-reported here in this amendment. Row 2 · 2018-09-06 · Exercise / conversion · Acquired 17,000 · Balance 34,510 F3: This Form 4 amends the Form 4 previously filed September 10, 2018. The purpose of this amendment is to add a power of attorney. Consequently, the transaction reported on the previously filed Form 4 dated September 10, 2018, is re-reported here in this amendment. Row 3 · 2018-09-06 · Sale · Disposed 34,000 · Balance 510 F3: This Form 4 amends the Form 4 previously filed September 10, 2018. The purpose of this amendment is to add a power of attorney. Consequently, the transaction reported on the previously filed Form 4 dated September 10, 2018, is re-reported here in this amendment. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $11.76 · Expires 2019-01-27 | Direct | 0 |
Reported balance
After 2018-09-06 transaction · row 4
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 4 · 2018-09-06 · Exercise / conversion · Disposed 17,000 · Balance 0 F3: This Form 4 amends the Form 4 previously filed September 10, 2018. The purpose of this amendment is to add a power of attorney. Consequently, the transaction reported on the previously filed Form 4 dated September 10, 2018, is re-reported here in this amendment. F1: Received in exchange for 20,000 options to purchase shares of Capstone Bancshares, Inc. common stock in connection with the merger of Capstone Bancshares, Inc. with and into SmartFinancial, Inc. (the "Merger"). |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $11.76 · Expires 2020-02-01 | Direct | 0 |
Reported balance
After 2018-09-06 transaction · row 5
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 5 · 2018-09-06 · Exercise / conversion · Disposed 17,000 · Balance 0 F3: This Form 4 amends the Form 4 previously filed September 10, 2018. The purpose of this amendment is to add a power of attorney. Consequently, the transaction reported on the previously filed Form 4 dated September 10, 2018, is re-reported here in this amendment. F2: Received in exchange for 20,000 options to purchase shares of Capstone Bancshares, Inc. common stock in connection with the Merger. |
Filing footnotes · ownership attribution and instrument terms
F1: Received in exchange for 20,000 options to purchase shares of Capstone Bancshares, Inc. common stock in connection with the merger of Capstone Bancshares, Inc. with and into SmartFinancial, Inc. (the "Merger").
F2: Received in exchange for 20,000 options to purchase shares of Capstone Bancshares, Inc. common stock in connection with the Merger.
F3: This Form 4 amends the Form 4 previously filed September 10, 2018. The purpose of this amendment is to add a power of attorney. Consequently, the transaction reported on the previously filed Form 4 dated September 10, 2018, is re-reported here in this amendment.
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 |
|---|---|---|---|---|---|---|
| September 06, 2018 Filed Sep 10, 2018 20:51 UTC Amendment | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionStock Option · Derivative | 17,000 | Not disclosed Strike: $11.76 | Not disclosed |
DisclosureSEC source: 0001721742-18-000002 · primary_doc.xml · derivative · entry 5 Kuhn Robert Wade Jr. · CIK 0001721742 · Regional President - SmartBank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,000 shares Expires 2020-02-01 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. F3 · security: This Form 4 amends the Form 4 previously filed September 10, 2018. The purpose of this amendment is to add a power of attorney. Consequently, the transaction reported on the previously filed Form 4 dated September 10, 2018, is re-reported here in this amendment. F2 · price: Received in exchange for 20,000 options to purchase shares of Capstone Bancshares, Inc. common stock in connection with the Merger. Read SEC document |
| September 06, 2018 Filed Sep 10, 2018 20:51 UTC Amendment | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionStock Option · Derivative | 17,000 | Not disclosed Strike: $11.76 | Not disclosed |
DisclosureSEC source: 0001721742-18-000002 · primary_doc.xml · derivative · entry 4 Kuhn Robert Wade Jr. · CIK 0001721742 · Regional President - SmartBank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,000 shares Expires 2019-01-27 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. F3 · security: This Form 4 amends the Form 4 previously filed September 10, 2018. The purpose of this amendment is to add a power of attorney. Consequently, the transaction reported on the previously filed Form 4 dated September 10, 2018, is re-reported here in this amendment. F1 · price: Received in exchange for 20,000 options to purchase shares of Capstone Bancshares, Inc. common stock in connection with the merger of Capstone Bancshares, Inc. with and into SmartFinancial, Inc. (the "Merger"). Read SEC document |
| September 06, 2018 Filed Sep 10, 2018 20:51 UTC Amendment | SMARTFINANCIAL INC. SMBK · Entity 5068 | SaleCommon Stock | 34,000 | $24.00 | $816,000.00 |
DisclosureSEC source: 0001721742-18-000002 · primary_doc.xml · nonDerivative · entry 3 Kuhn Robert Wade Jr. · CIK 0001721742 · Regional President - SmartBank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 510 F3 · security: This Form 4 amends the Form 4 previously filed September 10, 2018. The purpose of this amendment is to add a power of attorney. Consequently, the transaction reported on the previously filed Form 4 dated September 10, 2018, is re-reported here in this amendment. Read SEC document |
| September 06, 2018 Filed Sep 10, 2018 20:51 UTC Amendment | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionCommon Stock | 17,000 | $11.76 | $199,920.00 |
DisclosureSEC source: 0001721742-18-000002 · primary_doc.xml · nonDerivative · entry 2 Kuhn Robert Wade Jr. · CIK 0001721742 · Regional President - SmartBank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,510 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. F3 · security: This Form 4 amends the Form 4 previously filed September 10, 2018. The purpose of this amendment is to add a power of attorney. Consequently, the transaction reported on the previously filed Form 4 dated September 10, 2018, is re-reported here in this amendment. Read SEC document |
| September 06, 2018 Filed Sep 10, 2018 20:51 UTC Amendment | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionCommon Stock | 17,000 | $11.76 | $199,920.00 |
DisclosureSEC source: 0001721742-18-000002 · primary_doc.xml · nonDerivative · entry 1 Kuhn Robert Wade Jr. · CIK 0001721742 · Regional President - SmartBank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,510 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. F3 · security: This Form 4 amends the Form 4 previously filed September 10, 2018. The purpose of this amendment is to add a power of attorney. Consequently, the transaction reported on the previously filed Form 4 dated September 10, 2018, is re-reported here in this amendment. Read SEC document |
| September 06, 2018 Filed Sep 10, 2018 14:57 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionStock Option · Derivative | 17,000 | Not disclosed Strike: $11.76 | Not disclosed |
DisclosureSEC source: 0001721742-18-000001 · primary_doc.xml · derivative · entry 5 Kuhn Robert Wade Jr. · CIK 0001721742 · Regional President - SmartBank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,000 shares Expires 2020-02-01 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 · price: Received in exchange for 20,000 options to purchase shares of Capstone Bancshares, Inc. common stock in connection with the Merger. Read SEC document |
| September 06, 2018 Filed Sep 10, 2018 14:57 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionStock Option · Derivative | 17,000 | Not disclosed Strike: $11.76 | Not disclosed |
DisclosureSEC source: 0001721742-18-000001 · primary_doc.xml · derivative · entry 4 Kuhn Robert Wade Jr. · CIK 0001721742 · Regional President - SmartBank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,000 shares Expires 2019-01-27 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. F1 · price: Received in exchange for 20,000 options to purchase shares of Capstone Bancshares, Inc. common stock in connection with the merger of Capstone Bancshares, Inc. with and into SmartFinancial, Inc. (the "Merger"). Read SEC document |
| September 06, 2018 Filed Sep 10, 2018 14:57 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | SaleCommon Stock | 34,000 | $24.00 | $816,000.00 |
DisclosureSEC source: 0001721742-18-000001 · primary_doc.xml · nonDerivative · entry 3 Kuhn Robert Wade Jr. · CIK 0001721742 · Regional President - SmartBank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 510 Read SEC document |
| September 06, 2018 Filed Sep 10, 2018 14:57 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionCommon Stock | 17,000 | $11.76 | $199,920.00 |
DisclosureSEC source: 0001721742-18-000001 · primary_doc.xml · nonDerivative · entry 2 Kuhn Robert Wade Jr. · CIK 0001721742 · Regional President - SmartBank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,510 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 06, 2018 Filed Sep 10, 2018 14:57 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionCommon Stock | 17,000 | $11.76 | $199,920.00 |
DisclosureSEC source: 0001721742-18-000001 · primary_doc.xml · nonDerivative · entry 1 Kuhn Robert Wade Jr. · CIK 0001721742 · Regional President - SmartBank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,510 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 |
| November 01, 2017 Filed Nov 3, 2017 19:37 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | GrantStock Option · Derivative | 17,000 | Not disclosed Strike: $11.76 | Not disclosed |
DisclosureSEC source: 0001721561-17-000002 · primary_doc.xml · derivative · entry 3 Kuhn Robert Wade Jr. · CIK 0001721742 · Regional President - SmartBank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,000 Underlying: Common Stock · 17,000 shares Expires 2020-02-01 F3 · price: Received in exchange for 20,000 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 19:37 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | GrantStock Option · Derivative | 17,000 | Not disclosed Strike: $11.76 | Not disclosed |
DisclosureSEC source: 0001721561-17-000002 · primary_doc.xml · derivative · entry 2 Kuhn Robert Wade Jr. · CIK 0001721742 · Regional President - SmartBank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,000 Underlying: Common Stock · 17,000 shares Expires 2019-01-27 F2 · price: Received in exchange for 20,000 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 19:37 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | GrantCommon Stock | 510 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001721561-17-000002 · primary_doc.xml · nonDerivative · entry 1 Kuhn Robert Wade Jr. · CIK 0001721742 · Regional President - SmartBank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 510 F1 · price: Received in exchange for 600 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.