Form D Raw Data - Electronic Filing Depository

EFDID: 149264EFD: Raw Data

Issuer: SMARTFINANCIAL INC. (0001038773) - D

Accession: 0001434890-15-000016 () (EDGAR Files) (Form D)

Edgar Posted: Sep. 14, 2015
EFD Posted: Sep. 14, 2015

- < edgarSubmission >

< schemaVersion > X0707 </ schemaVersion >

< submissionType > D </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001038773 </ cik >

< entityName > SMARTFINANCIAL INC. </ entityName >

- < issuerAddress >

< street1 > 5401 KINGSTON PIKE </ street1 >

< street2 > SUITE 600 </ street2 >

< city > KNOXVILLE </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37919 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 866-290-2554 </ issuerPhoneNumber >

< jurisdictionOfInc > TENNESSEE </ jurisdictionOfInc >

- < edgarPreviousNameList >

< previousName > CORNERSTONE BANCSHARES INC </ previousName >

< previousName > EAST RIDGE BANCSHARES INC </ previousName >

</ edgarPreviousNameList >

< entityType > Corporation </ entityType >

- < yearOfInc >

< overFiveYears > true </ overFiveYears >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > William </ firstName >

< middleName > Y. </ middleName >

< lastName > Carroll, Jr. </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 5401 Kingston Pike, Suite 600 </ street1 >

< city > Knoxville </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37919 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

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< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > C. </ firstName >

< middleName > Bryan </ middleName >

< lastName > Johnson </ lastName >

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< street1 > 5401 Kingston Pike, Suite 600 </ street1 >

< city > Knoxville </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37919 </ zipCode >

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< relationship > Executive Officer </ relationship >

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< relationshipClarification />

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- < relatedPersonName >

< firstName > William </ firstName >

< middleName > Y. </ middleName >

< lastName > Carroll, Sr. </ lastName >

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< street1 > 5401 Kingston Pike, Suite 600 </ street1 >

< city > Knoxville </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37919 </ zipCode >

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< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

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< relationshipClarification />

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- < relatedPersonName >

< firstName > Nathaniel </ firstName >

< middleName > F. </ middleName >

< lastName > Hughes </ lastName >

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< street1 > 835 Georgia Avenue </ street1 >

< city > Chattanooga </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37402 </ zipCode >

</ relatedPersonAddress >

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< relationship > Executive Officer </ relationship >

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< relationshipClarification />

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< firstName > John </ firstName >

< middleName > H. </ middleName >

< lastName > Coxwell, Sr. </ lastName >

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< street1 > 835 Georgia Avenue </ street1 >

< city > Chattanooga </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37402 </ zipCode >

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< relationship > Executive Officer </ relationship >

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< relationshipClarification />

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- < relatedPersonName >

< firstName > Gary </ firstName >

< middleName > W. </ middleName >

< lastName > Petty, Jr. </ lastName >

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< street1 > 835 Georgia Avenue </ street1 >

< city > Chattanooga </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37402 </ zipCode >

</ relatedPersonAddress >

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< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

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< firstName > Victor </ firstName >

< middleName > L. </ middleName >

< lastName > Barrett </ lastName >

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< street1 > 5401 Kingston Pike, Suite 600 </ street1 >

< city > Knoxville </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37919 </ zipCode >

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< relationship > Director </ relationship >

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< firstName > Ted </ firstName >

< middleName > C. </ middleName >

< lastName > Miller </ lastName >

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< street1 > 5401 Kingston Pike, Suite 600 </ street1 >

< city > Knoxville </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37919 </ zipCode >

</ relatedPersonAddress >

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< relationship > Director </ relationship >

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< firstName > David </ firstName >

< middleName > A. </ middleName >

< lastName > Ogle </ lastName >

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< street1 > 5401 Kingston Pike, Suite 600 </ street1 >

< city > Knoxville </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37919 </ zipCode >

</ relatedPersonAddress >

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< relationship > Director </ relationship >

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- < relatedPersonName >

< firstName > Keith </ firstName >

< middleName > E. </ middleName >

< lastName > Whaley </ lastName >

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< street1 > 5401 Kingston Pike, Suite 600 </ street1 >

< city > Knoxville </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37919 </ zipCode >

</ relatedPersonAddress >

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< relationship > Director </ relationship >

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< firstName > Geoffrey </ firstName >

< middleName > A. </ middleName >

< lastName > Wolpert </ lastName >

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< street1 > 5401 Kingston Pike, Suite 600 </ street1 >

< city > Knoxville </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37919 </ zipCode >

</ relatedPersonAddress >

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< relationship > Director </ relationship >

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< firstName > W. </ firstName >

< middleName > Miller </ middleName >

< lastName > Wellborn </ lastName >

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< street1 > 835 Georgia Avenue </ street1 >

< city > Chattanooga </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37402 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

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< firstName > Monique </ firstName >

< middleName > P. </ middleName >

< lastName > Berke </ lastName >

</ relatedPersonName >

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< street1 > 835 Georgia Avenue </ street1 >

< city > Chattanooga </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37402 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

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- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Frank </ firstName >

< middleName > S. </ middleName >

< lastName > McDonald </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 835 Georgia Avenue </ street1 >

< city > Chattanooga </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37402 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Doyce </ firstName >

< middleName > G. </ middleName >

< lastName > Payne </ lastName >

</ relatedPersonName >

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< street1 > 835 Georgia Avenue </ street1 >

< city > Chattanooga </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37402 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Felicia </ firstName >

< middleName > F. </ middleName >

< lastName > Barbee </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 835 Georgia Avenue </ street1 >

< city > Chattanooga </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37402 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Gregory </ firstName >

< middleName > L. </ middleName >

< lastName > Davis </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 5401 Kingston Pike, Suite 600 </ street1 >

< city > Knoxville </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37919 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Rhett </ firstName >

< middleName > D. </ middleName >

< lastName > Jordan </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 5401 Kingston Pike, Suite 600 </ street1 >

< city > Knoxville </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37919 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Commercial Banking </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > Decline to Disclose </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06c </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > false </ isAmendment >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2015-08-28 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 0 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > Hovde Group, LLC </ recipientName >

< recipientCRDNumber > 25425 </ recipientCRDNumber >

< associatedBDName > Hovde Group, LLC </ associatedBDName >

< associatedBDCRDNumber > 25425 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 343 W. Erie St., Suite 430 </ street1 >

< city > Chicago </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60654 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 14600000 </ totalOfferingAmount >

< totalAmountSold > 11170535 </ totalAmountSold >

< totalRemaining > 3429465 </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 39 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 652000 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse />

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 423730 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ grossProceedsUsed >

< clarificationOfResponse > A portion of the proceeds of the offering will be paid to redeem Cornerstone Bancshares Inc. Series A preferred stock, certain holders of which are also officers and/or directors of the issuer. </ clarificationOfResponse >

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > SMARTFINANCIAL INC. </ issuerName >

< signatureName > Nathaniel F. Hughes </ signatureName >

< nameOfSigner > Nathaniel F. Hughes </ nameOfSigner >

< signatureTitle > Executive Vice President, Investment Officer </ signatureTitle >

< signatureDate > 2015-09-14 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >