4//SEC Filing
Petty Gary Wayne Jr 4
Accession 0001415889-21-000439
CIK 0001038773other
Filed
Jan 27, 7:00 PM ET
Accepted
Jan 28, 5:21 PM ET
Size
14.8 KB
Accession
0001415889-21-000439
Insider Transaction Report
Form 4
Petty Gary Wayne Jr
Chief Financial Officer
Transactions
- Award
Common Stock
2021-01-28+1,500→ 4,302 total
Holdings
- 96(indirect: By Spouse)
Common Stock
- 3,588
Stock Option
Exercise: $15.05From: 2017-09-30Exp: 2025-09-30→ Common Stock (3,588 underlying) - 3,750
Stock Option
Exercise: $9.48From: 2015-03-01Exp: 2023-03-01→ Common Stock (3,750 underlying) - 2,000
Stock Appreciation Right
Exercise: $21.61Exp: 2021-12-31→ Common Stock (2,000 underlying) - 3,750
Stock Option
Exercise: $6.60From: 2014-03-01Exp: 2022-03-01→ Common Stock (3,750 underlying) - 3,750
Stock Option
Exercise: $6.80From: 2013-03-01Exp: 2021-03-01→ Common Stock (3,750 underlying) - 3,750
Stock Option
Exercise: $9.60From: 2016-03-01Exp: 2024-03-01→ Common Stock (3,750 underlying)
Footnotes (3)
- [F1]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.
- [F2]Fully vested.
- [F3]This stock appreciation right was granted on 1/25/2018. The stock appreciation right generally vest 100% on the third anniversary of the date of 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 vest 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.
Documents
Issuer
SMARTFINANCIAL INC.
CIK 0001038773
Entity typeother
Related Parties
1- filerCIK 0001434890
Filing Metadata
- Form type
- 4
- Filed
- Jan 27, 7:00 PM ET
- Accepted
- Jan 28, 5:21 PM ET
- Size
- 14.8 KB