Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| SMARTFINANCIAL INC.SMBK · Entity 5068 | EVP & CHIEF RISK OFFICER | January 01, 2025 | January 06, 2025 |
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 01, 2025 · Filed January 06, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 18,565 |
Reported balance
After 2025-01-01 transaction · row 1
1 source rowRow 1 · 2025-01-01 · Tax withholding · Disposed 526 · Balance 18,565 |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $15.05 · Expires 2025-09-30 | Direct | 3,588 |
Reported balance
Holding disclosure · report date 2025-01-01 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 3,588 |
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 01, 2025 Filed Jan 6, 2025 22:00 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Tax withholdingCommon Stock | 526 | $30.98 | $16,295.48 |
DisclosureSEC source: 0001415889-25-000802 · form4-01062025_050106.xml · nonDerivative · entry 1 Petty Gary Wayne Jr · CIK 0001434890 · EVP & CHIEF RISK OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,565 Read SEC document |
| March 05, 2024 Filed Mar 6, 2024 21:15 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionStock Option · Derivative | 3,750 | $0.00 Strike: $9.60 | $0.00 |
DisclosureSEC source: 0001415889-24-007003 · form4-03062024_040302.xml · derivative · entry 3 Petty Gary Wayne Jr · CIK 0001434890 · EVP & CHIEF RISK OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,750 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. Read SEC document |
| March 05, 2024 Filed Mar 6, 2024 21:15 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | SaleCommon Stock | 2,394 | $21.63 | $51,782.22 |
DisclosureSEC source: 0001415889-24-007003 · form4-03062024_040302.xml · nonDerivative · entry 2 Petty Gary Wayne Jr · CIK 0001434890 · EVP & CHIEF RISK OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19,091 Read SEC document |
| March 05, 2024 Filed Mar 6, 2024 21:15 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionCommon Stock | 3,750 | $9.60 | $36,000.00 |
DisclosureSEC source: 0001415889-24-007003 · form4-03062024_040302.xml · nonDerivative · entry 1 Petty Gary Wayne Jr · CIK 0001434890 · EVP & CHIEF RISK OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,485 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 |
| January 30, 2024 Filed Feb 1, 2024 22:10 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | GrantCommon Stock | 422 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-002196 · form4-02012024_050213.xml · nonDerivative · entry 1 Petty Gary Wayne Jr · CIK 0001434890 · EVP & CHIEF RISK OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,735 F1 · shares: On January 30, 2024, the Compensation Committee approved grants of restricted stock, which vest on January 29, 2028. Read SEC document |
| January 25, 2023 Filed Jan 26, 2023 22:15 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | GrantCommon Stock | 1,442 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-001481 · form4-01262023_050129.xml · nonDerivative · entry 1 Petty Gary Wayne Jr · CIK 0001434890 · EVP & CHIEF RISK OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,744 F1 · shares: On January 25, 2023, the Compensation Committee approved grants of restricted stock, which vest on January 24, 2027. Read SEC document |
| February 14, 2022 Filed Feb 16, 2022 21:15 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionStock Option · Derivative | 3,750 | $0.00 Strike: $6.60 | $0.00 |
DisclosureSEC source: 0001415889-22-001436 · form4-02162022_040210.xml · derivative · entry 3 Petty Gary Wayne Jr · CIK 0001434890 · EVP & CHIEF RISK OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,750 shares Expires 2022-03-01 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. Read SEC document |
| February 14, 2022 Filed Feb 16, 2022 21:15 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionCommon Stock | 3,750 | $6.60 | $24,750.00 |
DisclosureSEC source: 0001415889-22-001436 · form4-02162022_040210.xml · nonDerivative · entry 1 Petty Gary Wayne Jr · CIK 0001434890 · EVP & CHIEF RISK OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,302 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 |
| January 26, 2022 Filed Feb 14, 2022 21:16 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | GrantCommon Stock | 1,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-22-001285 · form4-02142022_040240.xml · nonDerivative · entry 1 Petty Gary Wayne Jr · CIK 0001434890 · EVP & CHIEF RISK OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,552 F1 · shares: On January 28, 2021, pursuant to the issuer's 2015 Stock Incentive Plan (the "Plan"), the Board of Directors of the issuer approved grants of performance-based restricted stock. Up to 50% of the restricted shares could be earned if the issuer achieved certain core diluted earnings per share targets for the fiscal year ending December 31, 2021, and up to 50% of the restricted shares could be earned if the issuer achieved certain core return on average assets targets for the fiscal year ending December 31, 2021. On January 26, 2022, the Compensation Committee determined that all performance goals were met and 100% of the performance-based restricted stock shares were earned. Read SEC document |
| November 23, 2021 Filed Dec 17, 2021 22:00 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionStock Appreciation Right · Derivative | 2,000 | $0.00 Strike: $21.61 | $0.00 |
DisclosureSEC source: 0001415889-21-006080 · form4-12172021_051207.xml · derivative · entry 3 Petty Gary Wayne Jr · CIK 0001434890 · EVP & CHIEF RISK OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,000 shares Expires 2021-12-31 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 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. Petty'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. Petty'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 |
| November 23, 2021 Filed Dec 17, 2021 22:00 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Disposition to issuerStock Apperception Right | 2,000 | $27.15 | $54,300.00 |
DisclosureSEC source: 0001415889-21-006080 · form4-12172021_051207.xml · nonDerivative · entry 2 Petty Gary Wayne Jr · CIK 0001434890 · EVP & CHIEF RISK OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,052 Read SEC document |
| November 23, 2021 Filed Dec 17, 2021 22:00 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionStock Appreciation Right | 2,000 | $21.61 | $43,220.00 |
DisclosureSEC source: 0001415889-21-006080 · form4-12172021_051207.xml · nonDerivative · entry 1 Petty Gary Wayne Jr · CIK 0001434890 · EVP & CHIEF RISK OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,052 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 22, 2021 Filed Dec 17, 2021 22:00 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionStock Option · Derivative | 3,750 | $0.00 Strike: $6.80 | $0.00 |
DisclosureSEC source: 0001415889-21-006079 · form4-12172021_051202.xml · derivative · entry 2 Petty Gary Wayne Jr · CIK 0001434890 · EVP & CHIEF RISK OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,750 shares Expires 2021-03-01 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: Fully vested. Read SEC document |
| February 22, 2021 Filed Dec 17, 2021 22:00 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionCommon Stock | 3,750 | $6.80 | $25,500.00 |
DisclosureSEC source: 0001415889-21-006079 · form4-12172021_051202.xml · nonDerivative · entry 1 Petty Gary Wayne Jr · CIK 0001434890 · EVP & CHIEF RISK OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,052 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 |
| January 28, 2021 Filed Jan 28, 2021 22:21 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | GrantCommon Stock | 1,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-21-000439 · form4-01282021_050129.xml · nonDerivative · entry 1 Petty Gary Wayne Jr · CIK 0001434890 · EVP & CHIEF RISK OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,302 F1 · shares: On March 9, 2020, pursuant to the issuer's 2015 Stock Incentive Plan (the "Plan"), the Board of Directors of the issuer approved grants of performance-based restricted stock. Up to 50% of the restricted shares could be earned if the issuer achieved certain core diluted earnings per share targets for the fiscal year ending December 31, 2020, and up to 50% of the restricted shares could be earned if the issuer achieved certain core return on average assets targets for the fiscal year ending December 31, 2020. On January 28, 2021, the Board of Directors determined that all performance goals were met and 100% of the performance-based restricted stock shares were earned. Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 15:08 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | GrantCommon Stock | 1,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001038773-20-000035 · wf-form4_157987851226495.xml · nonDerivative · entry 1 Petty Gary Wayne Jr · CIK 0001434890 · Chief Risk Officer & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,802 F1 · shares: On January 24, 2019, pursuant to the issuers 2015 Stock Incentive Plan (the "Plan"), the Board of Directors of the issuer approved grants of performance-based restricted stock (the "Restricted Stock Awards"). Up to 50% the restricted shares could be earned if the issuer achieved certain core diluted earnings per share targets for the fiscal year ending December 31, 2019, and up to 50% of the restricted shares could be earned if the issuer achieved certain core return on average assets targets for the 2019 fiscal year. On January 22, 2020, the Board of Directors determined that all performance goals were met and 100% of performance-based restricted stock was earned. Read SEC document |
| February 27, 2019 Filed Mar 1, 2019 02:12 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionStock Option (right to buy) · Derivative | 1,250 | $0.00 Strike: $14.40 | $0.00 |
DisclosureSEC source: 0001434890-19-000003 · primary_doc.xml · derivative · entry 3 Petty Gary Wayne Jr · CIK 0001434890 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,250 Underlying: Common Stock · 1,025 shares Expires 2019-03-01 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: Fully vested. Read SEC document |
| February 27, 2019 Filed Mar 1, 2019 02:12 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | Exercise / conversionCommon Stock | 1,250 | $14.40 | $18,000.00 |
DisclosureSEC source: 0001434890-19-000003 · primary_doc.xml · nonDerivative · entry 1 Petty Gary Wayne Jr · CIK 0001434890 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,302 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 |
| January 25, 2018 Filed Mar 20, 2019 21:18 UTC | SMARTFINANCIAL INC. SMBK · Entity 5068 | GrantStock Appreciation Right · Derivative | 2,000 | $0.00 Strike: $21.61 | $0.00 |
DisclosureSEC source: 0001434890-19-000004 · primary_doc.xml · derivative · entry 3 Petty Gary Wayne Jr · CIK 0001434890 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common Stock · 2,000 shares Expires 2021-12-31 F1 · 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 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. Petty'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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.