<SEC-DOCUMENT>0001558370-23-019362.txt : 20231128
<SEC-HEADER>0001558370-23-019362.hdr.sgml : 20231128
<ACCEPTANCE-DATETIME>20231128171016
ACCESSION NUMBER:		0001558370-23-019362
CONFORMED SUBMISSION TYPE:	8-A12B
PUBLIC DOCUMENT COUNT:		1
FILED AS OF DATE:		20231128
DATE AS OF CHANGE:		20231128

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-A12B
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-37661
		FILM NUMBER:		231447433

	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-A12B
<SEQUENCE>1
<FILENAME>tmb-20231128x8a12b.htm
<DESCRIPTION>8-A12B
<TEXT>
<!--Enhanced HTML document created with Toppan Merrill Bridge  10.4.105.0--><!--Created on: 11/28/2023 06:20:34 PM (UTC)--><!DOCTYPE HTML PUBLIC "-//W3C//DTD HTML 4.01 Transitional//EN" "http://www.w3.org/TR/html4/loose.dtd"><html><head><meta charset="UTF-8"><title></title></head><body><div style="margin-top:30pt;"></div><div style="max-width:100%;padding-left:4.2%;padding-right:4.13%;position:relative;"><div style="clear:both;max-width:100%;position:relative;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:9.6pt;text-align:center;margin:57.9pt 0pt 0pt 0pt;"><b style="font-weight:bold;">UNITED STATES</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:9.6pt;text-align:center;margin:0pt;"><b style="font-weight:bold;">SECURITIES AND EXCHANGE COMMISSION</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:9.6pt;text-align:center;margin:0pt;"><b style="font-weight:bold;">Washington, D.C. 20549</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:14.35pt;text-align:center;margin:9.3pt 0pt 0pt 0pt;"><b style="font-weight:bold;">FORM 8-A</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:9.6pt;text-align:center;margin:10.64pt 0pt 0pt 0pt;"><b style="font-weight:bold;">FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES </b><b style="font-weight:bold;"><br></b><b style="font-weight:bold;">PURSUANT TO SECTION 12(b) OR (g) OF THE </b><b style="font-weight:bold;"><br></b><b style="font-weight:bold;">SECURITIES EXCHANGE ACT OF 1934</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:12.25pt;text-align:center;margin:22.54pt 0pt 0pt 0pt;"><b style="font-weight:bold;text-decoration-color:#000000;text-decoration-line:underline;text-decoration-style:solid;">SMARTFINANCIAL, INC.</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:9.4pt;text-align:center;margin:1.39pt 0pt 0pt 0pt;">(Exact name of registrant as specified in its charter)</p><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:9.4pt;text-align:center;margin:1.39pt 0pt 0pt 0pt;"><font style="font-size:9.4pt;line-height:1.19;visibility:hidden;">&#8203;</font></p><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.19;text-align:center;margin:0pt;"><font style="visibility:hidden;">&#8203;</font></p><div><table style="border-collapse:collapse;font-size:16pt;height:max-content;margin-left:auto;margin-right:auto;padding-left:0pt;padding-right:0pt;width:100%;" align="center"><tr><td style="vertical-align:bottom;width:39.85%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.19;text-align:center;margin:0pt;"><b style="font-weight:bold;">Tennessee</b></p></td><td style="vertical-align:bottom;width:1.72%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.19;text-align:center;margin:0pt;">&#160;&#160;&#160;</p></td><td style="vertical-align:bottom;width:25.03%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.19;text-align:center;margin:0pt;"><b style="font-weight:bold;">001-37661</b></p></td><td style="vertical-align:bottom;width:2.26%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.19;text-align:center;margin:0pt;">&#160;&#160;&#160;&#160;</p></td><td style="vertical-align:bottom;width:31.12%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.19;text-align:center;margin:0pt;"><b style="font-weight:bold;">62-1173944</b></p></td></tr><tr><td style="vertical-align:bottom;width:39.85%;border-top:1.0pt solid #000000;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.19;text-align:center;margin:0pt;">(State or other jurisdiction of incorporation)</p></td><td style="vertical-align:bottom;width:1.72%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.19;text-align:center;margin:0pt;">&#160;</p></td><td style="vertical-align:bottom;width:25.03%;border-top:1.0pt solid #000000;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.19;text-align:center;margin:0pt;">(Commission File Number)</p></td><td style="vertical-align:bottom;width:2.26%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.19;text-align:center;margin:0pt;">&#160;</p></td><td style="vertical-align:bottom;width:31.12%;border-top:1.0pt solid #000000;margin:0pt;padding:0pt;"><p style="font-family:'Times 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style="vertical-align:bottom;width:30.56%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"></div></div></td></tr><tr><td style="vertical-align:bottom;width:65.83%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.19;text-align:center;margin:0pt;"><b style="font-weight:bold;">5401 Kingston Pike, Suite 600</b></p></td><td style="vertical-align:bottom;width:3.6%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.19;text-align:center;margin:0pt;">&#160;&#160;&#160;&#160;&#160;</p></td><td style="vertical-align:bottom;width:30.56%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.19;text-align:center;margin:0pt;">&#160;</p></td></tr><tr><td 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style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"></div></div></td></tr><tr><td style="vertical-align:bottom;width:47.31%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.19;text-align:center;margin:0pt;"><b style="font-weight:bold;">Title of each class to be so registered</b></p></td><td style="vertical-align:bottom;width:5.62%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.19;text-align:center;margin:0pt;">&#160;</p></td><td style="vertical-align:bottom;width:47.05%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.19;text-align:center;margin:0pt;"><b style="font-weight:bold;">Name of each exchange on which each class is to be registered</b></p></td></tr><tr><td style="vertical-align:bottom;width:47.31%;border-top:1.0pt solid #000000;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.19;text-align:center;margin:0pt;">Common Stock, $1.00 par value per share</p></td><td style="vertical-align:bottom;width:5.62%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.19;text-align:center;margin:0pt;">&#160;</p></td><td style="vertical-align:bottom;width:47.05%;border-top:1.0pt solid #000000;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:9.4pt;margin:1.54pt 0pt 0pt 46.8pt;">New York Stock Exchange</p></td></tr></table></div><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;line-height:7.7pt;text-align:justify;margin:16.29pt 7.2pt 0pt 7.2pt;">If this form relates to the registration of a class of securities pursuant to section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c) or (e), 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style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:9.6pt;text-align:justify;margin:9.75pt 7.2pt 80.05pt 9pt;"><font style="letter-spacing:-0.05pt;">This Registration Statement on Form 8-A is being filed by SmartFinancial, Inc. (the &#8220;Company&#8221;) with the Securities and Exchange Commission (the &#8220;Commission&#8221;) in connection with the registration of its common stock, $1.00 par value per share (the &#8220;Common Stock&#8221;), under Section 12(b) of the Securities Exchange Act of 1934 (the &#8220;Exchange Act&#8221;), and the transfer of the listing of the Common Stock from The Nasdaq Stock Market LLC to the New York Stock Exchange.</font></p><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.19;margin:0pt;"><font style="visibility:hidden;">&#8203;</font></p><p style="display:none;font-family:'Times New Roman','Times','serif';line-height:0pt;margin:0pt;"><font style="font-size:0pt;line-height:1.19;visibility:hidden;">&#8203;</font></p></div></div><hr style="background-color:#000000;clear:both;color:#000000;height:2pt;line-height:0;margin-bottom:30pt;margin-left:4.2%;margin-right:4.13%;margin-top:30pt;page-break-after:always;width:91.67%;border-width:0;"><div style="max-width:100%;padding-left:4.21%;padding-right:4.13%;position:relative;"><div style="clear:both;max-width:100%;position:relative;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:14.2pt;text-align:center;margin:0pt 0pt 0pt 9pt;"><b style="font-weight:bold;">INFORMATION REQUIRED IN REGISTRATION STATEMENT</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:14.2pt;text-align:justify;text-indent:158.4pt;margin:0pt 0pt 0pt 7.2pt;"><b style="font-weight:bold;"><font style="display:inline-block;visibility:hidden;width:0pt;">&#8203;</font><br></b><b style="font-weight:bold;">Item 1. Description of Registrant&#8217;s Securities to be Registered.</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:9.6pt;text-align:justify;margin:7.25pt 7.2pt 0pt 9pt;">For a description of the securities registered hereunder, reference is made to the information set forth under the heading &#8220;Description of SmartFinancial Capital Stock&#8221; in Exhibit 4.1 to the Company&#8217;s Annual Report on Form 10-K for the year ended December 31, 2022, filed with the Commission on March 16, 2023, which information is incorporated herein by reference.</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:9.25pt;text-align:justify;margin:7.5pt 0pt 0pt 7.2pt;"><b style="font-weight:bold;">Item 2. Exhibits.</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:9.6pt;text-align:justify;margin:7.25pt 7.2pt 575pt 9pt;">Pursuant to the Instructions as to Exhibits with respect to Form 8-A, no exhibits are required to be filed because no other securities of the Company are listed on the New York Stock Exchange and the securities registered hereby are not being registered pursuant to Section 12(g) of the Exchange Act.</p><p style="display:none;font-family:'Times New Roman','Times','serif';line-height:0pt;margin:0pt;"><font style="font-size:0pt;line-height:1.19;visibility:hidden;">&#8203;</font></p><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.19;margin:0pt;"><font style="font-size:10pt;visibility:hidden;">&#8203;</font></p></div></div><hr style="background-color:#000000;clear:both;color:#000000;height:2pt;line-height:0;margin-bottom:30pt;margin-left:4.21%;margin-right:4.13%;margin-top:30pt;page-break-after:always;width:91.67%;border-width:0;"><div style="max-width:100%;padding-left:11.76%;padding-right:11.76%;position:relative;"><div style="clear:both;max-width:100%;position:relative;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.19;text-align:center;margin:0pt;"><b style="font-weight:bold;">SIGNATURES</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.19;margin:0pt;"><font style="font-size:10pt;visibility:hidden;">&#8203;</font></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.19;text-align:justify;margin:0pt;">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.</p><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.19;margin:0pt;"><font style="font-size:10pt;visibility:hidden;">&#8203;</font></p><div><table style="border-collapse:collapse;font-size:16pt;height:max-content;margin-left:auto;margin-right:auto;padding-left:0pt;padding-right:0pt;width:100%;" align="center"><tr style="height:1pt;"><td style="vertical-align:bottom;width:50.07%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"></div></div></td><td style="vertical-align:bottom;width:49.92%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"></div></div></td></tr><tr><td style="vertical-align:bottom;width:50.07%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.19;margin:0pt;">&#160;</p></td><td style="vertical-align:bottom;width:49.92%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.19;margin:0pt;"><b style="font-weight:bold;">SMARTFINANCIAL, INC.</b></p></td></tr><tr><td style="vertical-align:bottom;width:50.07%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.19;margin:0pt;">&#160;</p></td><td style="vertical-align:bottom;width:49.92%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.19;margin:0pt;">&#160;</p></td></tr><tr><td style="vertical-align:bottom;width:50.07%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.19;margin:0pt;">Date: November 28, 2023</p></td><td style="vertical-align:bottom;width:49.92%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.19;margin:0pt;">&#160;</p></td></tr><tr><td style="vertical-align:bottom;width:50.07%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.19;margin:0pt;">&#160;</p></td><td style="vertical-align:bottom;width:49.92%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.19;margin:0pt;">/s/ William Y. Carroll, Jr.</p></td></tr><tr><td style="vertical-align:bottom;width:50.07%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.19;margin:0pt;">&#160;</p></td><td style="vertical-align:bottom;width:49.92%;border-top:1.0pt solid #000000;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.19;margin:0pt;">William Y. 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