Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| SMARTFINANCIAL INC.SMBK · Entity 5068 | EVP & COO | September 23, 2016 | September 26, 2016 |
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 23, 2016 · Filed September 26, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 9,387 |
Ending reported balance
After 2016-09-23 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2016-09-23 · Exercise / conversion · Acquired 3,750 · Balance 13,137 Row 2 · 2016-09-23 · Exercise / conversion · Acquired 6,250 · Balance 19,387 Row 3 · 2016-09-23 · Sale · Disposed 10,000 · Balance 9,387 |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $9.48 · Expires 2023-03-01 | Direct | 0 |
Reported balance
After 2016-09-23 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2016-09-23 · Exercise / conversion · Disposed 3,750 · Balance 0 F1: This option was fully vested. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $9.60 · Expires 2024-03-01 | Direct | 0 |
Reported balance
After 2016-09-23 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2016-09-23 · Exercise / conversion · Disposed 6,250 · Balance 0 F2: This option was fully vested. |
Filing footnotes · ownership attribution and instrument terms
F1: This option was fully vested.
F2: This option was fully vested.
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 23, 2016 Filed Sep 26, 2016 18:09 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionStock Option · Derivative | 6,250 | $0.00 Strike: $9.60 | $0.00 |
DisclosureSEC source: 0001553541-16-000006 · primary_doc.xml · derivative · entry 5 Coxwell John H Sr · CIK 0001553541 · EVP & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,250 shares Expires 2024-03-01 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 · derivative.exercise_date: This option was fully vested. Read SEC document |
| September 23, 2016 Filed Sep 26, 2016 18:09 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionStock Option · Derivative | 3,750 | $0.00 Strike: $9.48 | $0.00 |
DisclosureSEC source: 0001553541-16-000006 · primary_doc.xml · derivative · entry 4 Coxwell John H Sr · CIK 0001553541 · EVP & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,750 shares Expires 2023-03-01 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. F1 · derivative.exercise_date: This option was fully vested. Read SEC document |
| September 23, 2016 Filed Sep 26, 2016 18:09 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | SaleCommon Stock | 10,000 | $16.25 | $162,500.00 |
DisclosureSEC source: 0001553541-16-000006 · primary_doc.xml · nonDerivative · entry 3 Coxwell John H Sr · CIK 0001553541 · EVP & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,387 Read SEC document |
| September 23, 2016 Filed Sep 26, 2016 18:09 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionCommon Stock | 6,250 | $9.60 | $60,000.00 |
DisclosureSEC source: 0001553541-16-000006 · primary_doc.xml · nonDerivative · entry 2 Coxwell John H Sr · CIK 0001553541 · EVP & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,387 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 23, 2016 Filed Sep 26, 2016 18:09 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionCommon Stock | 3,750 | $9.48 | $35,550.00 |
DisclosureSEC source: 0001553541-16-000006 · primary_doc.xml · nonDerivative · entry 1 Coxwell John H Sr · CIK 0001553541 · EVP & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,137 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.