<SEC-DOCUMENT>0001140361-19-009945.txt : 20190529
<SEC-HEADER>0001140361-19-009945.hdr.sgml : 20190529
<ACCEPTANCE-DATETIME>20190529122144
ACCESSION NUMBER:		0001140361-19-009945
CONFORMED SUBMISSION TYPE:	8-K/A
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20190502
ITEM INFORMATION:		Submission of Matters to a Vote of Security Holders
FILED AS OF DATE:		20190529
DATE AS OF CHANGE:		20190529

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			SMARTFINANCIAL INC.
		CENTRAL INDEX KEY:			0001038773
		STANDARD INDUSTRIAL CLASSIFICATION:	NATIONAL COMMERCIAL BANKS [6021]
		IRS NUMBER:				621173944
		STATE OF INCORPORATION:			TN
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-K/A
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-37661
		FILM NUMBER:		19860578

	BUSINESS ADDRESS:	
		STREET 1:		5401 KINGSTON PIKE
		STREET 2:		SUITE 600
		CITY:			KNOXVILLE
		STATE:			TN
		ZIP:			37919
		BUSINESS PHONE:		866-290-2554

	MAIL ADDRESS:	
		STREET 1:		5401 KINGSTON PIKE
		STREET 2:		SUITE 600
		CITY:			KNOXVILLE
		STATE:			TN
		ZIP:			37919

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	CORNERSTONE BANCSHARES INC
		DATE OF NAME CHANGE:	19980402

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	EAST RIDGE BANCSHARES INC
		DATE OF NAME CHANGE:	19970507
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K/A
<SEQUENCE>1
<FILENAME>form8ka.htm
<DESCRIPTION>8-K/A
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    <div style="text-align: center; font-family: &quot;Times New Roman&quot;,Times,serif; font-size: 14pt; font-weight: bold;">UNITED STATES</div>
    <div style="text-align: center; font-size: 14pt;"><font style="font-family: &quot;Times New Roman&quot;,Times,serif; font-weight: bold;">SECURITIES AND EXCHANGE COMMISSION</font></div>
    <div style="text-align: center; font-size: 12pt;"><font style="font-family: &quot;Times New Roman&quot;,Times,serif; font-weight: bold;">WASHINGTON, DC 20549</font></div>
    <div><br>
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    <div style="text-align: center; font-size: 18pt;"><font style="font-family: &quot;Times New Roman&quot;,Times,serif; font-weight: bold;">FORM 8-K/A</font></div>
    <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif; font-weight: bold;">(Amendment No. 1)</font></div>
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    <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif; font-weight: bold;">CURRENT REPORT PURSUANT TO</font></div>
    <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif; font-weight: bold;">SECTION 13 OR 15(d) OF THE</font></div>
    <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif; font-weight: bold;">SECURITIES EXCHANGE ACT OF 1934</font></div>
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    </div>
    <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif; font-weight: bold;">Date of earliest event reported: May 2, 2019</font></div>
    <div><br>
    </div>
    <div style="text-align: center; font-size: 24pt;"><font style="font-family: &quot;Times New Roman&quot;,Times,serif; font-weight: bold;">SMARTFINANCIAL, INC.</font></div>
    <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">(Exact Name of Registrant as Specified in its Charter)</font></div>
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            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif; font-weight: bold;">Tennessee</font></div>
          </td>
          <td style="width: 2%; vertical-align: bottom;">&#160;</td>
          <td style="width: 32%; vertical-align: bottom; border-bottom: 2px solid rgb(0, 0, 0);">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif; font-weight: bold;">333-203449</font></div>
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          <td style="width: 2%; vertical-align: bottom;">&#160;</td>
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            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif; font-weight: bold;">62-1173944</font></div>
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            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">(State or Other Jurisdiction of Incorporation)</font></div>
          </td>
          <td style="width: 2%; vertical-align: bottom;">&#160;</td>
          <td style="width: 32%; vertical-align: top;">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">(Commission File Number)</font></div>
          </td>
          <td style="width: 2%; vertical-align: bottom;">&#160;</td>
          <td style="width: 31.78%; vertical-align: top;">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">(IRS Employer Identification No.)</font></div>
          </td>
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          <td style="width: 49%; vertical-align: bottom; border-bottom: 2px solid rgb(0, 0, 0);">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif; font-weight: bold;">5401 Kingston Pike, Suite 600</font></div>
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif; font-weight: bold;">Knoxville, Tennessee</font></div>
          </td>
          <td style="width: 2%; vertical-align: bottom;">&#160;</td>
          <td style="width: 48.76%; vertical-align: bottom; border-bottom: 2px solid rgb(0, 0, 0);">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif; font-weight: bold;">37919</font></div>
          </td>
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          <td style="width: 49%; vertical-align: top;">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">(Address of Principal Executive Offices)</font></div>
          </td>
          <td style="width: 2%; vertical-align: bottom;">&#160;</td>
          <td style="width: 48.76%; vertical-align: top;">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">(Zip Code)</font></div>
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            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif; font-weight: bold;">(865-453-2650)</font></div>
          </td>
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          <td style="width: 50%; vertical-align: middle;">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">(Registrant&#8217;s telephone number, including area code<font style="font-size: 10pt; font-family: &quot;Times New
                  Roman&quot;,Times,serif; font-weight: bold;">)</font></font></div>
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            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif; font-weight: bold;">N/A</font></div>
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            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">(Former Name or Former Address, if Changed Since Last Report)</font></div>
          </td>
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    <div style="text-align: left;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant
        under any of the following provisions (<font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;"><u>see</u></font> General Instruction A.2. below):</font></div>
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              <td style="width: 18pt; vertical-align: top;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">&#9744;</font></td>
              <td style="width: auto; vertical-align: top; text-align: left;">
                <div><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</font></div>
              </td>
            </tr>

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              <td style="width: 18pt; vertical-align: top;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">&#9744;</font></td>
              <td style="width: auto; vertical-align: top; text-align: left;">
                <div><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</font></div>
              </td>
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              <td style="width: 18pt; vertical-align: top;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">&#9744;</font></td>
              <td style="width: auto; vertical-align: top; text-align: left;">
                <div><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</font></div>
              </td>
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              <td style="width: 18pt; vertical-align: top;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">&#9744;</font></td>
              <td style="width: auto; vertical-align: top; text-align: left;">
                <div><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</font></div>
              </td>
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      </div>
    </div>
    <div><br>
    </div>
    <div style="text-align: left;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933
        (&#167;230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (&#167;240.12b-2 of this chapter).</font></div>
    <div><br>
    </div>
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            <td style="width: 70%;">
              <div>&#160;</div>
            </td>
            <td style="white-space: nowrap; width: 30%;">
              <div style="text-align: left;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">Emerging growth company&#160; &#160; &#160; &#160; &#9744;</font></div>
            </td>
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    <div style="text-align: left;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for
        complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.&#160; &#160; &#9744;</font></div>
    <div><br>
    </div>
    <div style="text-align: left;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">Securities registered pursuant to Section 12(b) of the Act:</font></div>
    <div><br>
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          <td style="width: 42%; vertical-align: top; border-bottom: 2px solid rgb(0, 0, 0);">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">Title of Each Class</font></div>
          </td>
          <td style="width: 16%; vertical-align: top; border-bottom: 2px solid rgb(0, 0, 0);">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">Trading Symbol(s)</font></div>
          </td>
          <td style="width: 42%; vertical-align: top; border-bottom: 2px solid rgb(0, 0, 0);">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">Name of Each Exchange on Which Registered</font></div>
          </td>
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          <td style="width: 42%; vertical-align: top;">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">Common Stock, par value $1.00 per share</font></div>
          </td>
          <td style="width: 16%; vertical-align: top;">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">SMBK</font></div>
          </td>
          <td style="width: 42%; vertical-align: top;">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">The Nasdaq Stock Market LLC</font></div>
          </td>
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    <div style="background-color: #FFFFFF;">
      <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif; font-weight: bold;">Explanatory Note</font></div>
    </div>
    <div style="background-color: #FFFFFF;">
      <div><br>
      </div>
    </div>
    <div style="background-color: #FFFFFF;">
      <div style="text-align: justify;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">This Current Report on Form 8-K/A (Amendment No. 1) (this &#8220;<font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;
            font-weight: bold; font-style: italic;">Amendment</font>&#8221;) is being filed by <font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">SmartFinancial, Inc.</font> (the &#8220;<font style="font-size: 10pt; font-weight: bold;
            font-style: italic;">Company</font>&#8221;) to amend the Current Report on Form 8-K filed by the Company on May 7, 2019 (the &#8220;<font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif; font-weight: bold; font-style: italic;">Original
            Form 8-K</font>&#8221;). The Company is filing this Amendment solely for the purpose of disclosing the Company&#8217;s decision with respect to the frequency of future non-binding shareholder advisory votes on named executive officer compensation. This
          Amendment does not amend, modify, or supplement the Original Form 8-K in any other respect.</font></div>
    </div>
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              <td style="width: 45pt; vertical-align: top;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif; font-weight: bold;">Item 5.07</font></td>
              <td style="width: auto; vertical-align: top; text-align: left;">
                <div><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif; font-weight: bold;">Submission of Matters to a Vote of Security Holders.</font></div>
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    <div style="text-align: justify;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">(d)&#160;&#160;&#160;&#160;&#160;&#160; </font><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">As previously reported in the
        Original Form 8-K, at the 2019 annual meeting of Company shareholders held on May 2, 2019 (the &#8220;<font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif; font-weight: bold; font-style: italic;">Annual Meeting</font>&#8221;), the
        Company&#8217;s shareholders voted, on a non-binding, advisory basis, on the frequency with which Company shareholders should have future non-binding, advisory votes on the compensation of the Company&#8217;s named executive officers. A majority of the shares
        voted on this proposal at the Annual Meeting voted in favor of shareholders having a non-binding, advisory vote on named executive officer compensation every three years, which was consistent with the recommendation of the Company&#8217;s board of
        directors in the proxy statement for the Annual Meeting. In light of this shareholder vote and in accordance with its recommendation in the proxy statement for the Annual Meeting, the Company&#8217;s board of directors has determined that the Company
        will hold a non-binding shareholder advisory vote on named executive officer compensation every three years until the next required vote on the frequency of future non-binding shareholder advisory votes on named executive officer compensation. The
        Company is required to hold a non-binding, advisory vote on the frequency of future shareholder advisory votes on named executive officer compensation no less frequently than every six years.</font></div>
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    <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">SIGNATURES</font></div>
    <div><br>
    </div>
    <div style="text-align: justify;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by
        the undersigned hereunto duly authorized.</font></div>
    <div><br>
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          <td style="width: 45%; vertical-align: top;">&#160;</td>
          <td style="vertical-align: top;" colspan="2">
            <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif; font-weight: bold;">SMARTFINANCIAL, INC.</font></div>
          </td>
        </tr>
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          <td style="width: 45%; vertical-align: top;">&#160;</td>
          <td style="vertical-align: top;" colspan="2">&#160;</td>
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            <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">Date:&#160; May 29, 2019</font></div>
          </td>
          <td style="vertical-align: top;" colspan="2">&#160;</td>
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          <td style="width: 45%; vertical-align: top; padding-bottom: 2px;">&#160;</td>
          <td style="width: 30%; vertical-align: top; border-bottom: 2px solid black;">
            <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">/s/ William Y. Carroll, Jr.</font></font></div>
          </td>
          <td style="width: 25%; vertical-align: top; padding-bottom: 2px;">&#160;</td>
        </tr>
        <tr>
          <td style="width: 45%; vertical-align: top;">&#160;</td>
          <td style="vertical-align: top;">
            <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">William Y. Carroll, Jr.</font></div>
          </td>
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            <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif; font-style: italic;">President and Chief Executive Officer</font></div>
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