SmartFinancial director proposes $176K share sale

The proposed shares are listed as 2,750 from previously exercised options and 800 from an open-market purchase.

Available on EDGAR 11/04/2026 - 04:20 PM EST Accepted by SEC EDGAR 11/04/2026 - 04:19 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

SmartFinancial, Inc. (SMBK) director Steven B. Tucker reported a proposed sale of 3,550 common shares, with an aggregate market value of $176,139.29 and an approximate sale date of November 4, 2026, through Morgan Stanley Smith Barney LLC on the NYSE. The shares are listed as 2,750 from previously exercised options on March 22, 2018, and 800 from an open-market purchase on November 8, 2018. Tucker also reported sales of 3,500 common shares on October 23, 2026, valued at $173,250.00.

Key Figures

Proposed shares: 3,550 common shares Aggregate market value: $176,139.29 Shares from previously exercised options: 2,750 shares +3 more

6 metrics

Proposed shares 3,550 common shares Approximate sale date November 4, 2026

Aggregate market value $176,139.29 Proposed sale

Shares from previously exercised options 2,750 shares March 22, 2018

Shares from open-market purchase 800 shares November 8, 2018

Shares sold during past three months 3,500 common shares October 23, 2026

Aggregate value of shares sold during past three months $173,250.00 October 23, 2026

Key Terms

Rule 144, Previously Exercised Options, Open Market Purchase

3 terms

Rule 144 regulatory

"definition of "person" in paragraph (a) of Rule 144"

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

Previously Exercised Options financial

"Previously Exercised Options"

Open Market Purchase financial

"Open Market Purchase"

An open market purchase is when a company buys its own shares on public stock exchanges the same way any investor would, rather than through a private deal. Investors care because these purchases reduce the number of shares available, can boost earnings per share and share price, signal that management thinks the stock is undervalued, and use company cash that might otherwise go to reinvestment or dividends — like a business quietly buying back its own tickets at the box office.

FAQ

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How many SMBK shares did Steven B. Tucker propose to sell?

Steven B. Tucker, a director, reported a proposed sale of 3,550 common shares, with an aggregate market value of $176,139.29 and an approximate sale date of November 4, 2026.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001721614
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	SmartFinancial, Inc.
SEC File Number	001-37661
Address of Issuer	5401 Kingston Pike Suite 600 Knoxville TENNESSEE 37919
Phone	865-437-5700
Name of Person for Whose Account the Securities are To Be Sold	STEVEN B TUCKER
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Director

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	3550	176139.29	17098473	11/04/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	03/22/2018	Previously Exercised Options	Issuer			2750	03/22/2018	Cash
Common	11/08/2018	Open Market Purchase	Open Market			800	11/08/2018	Cash

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
STEVEN B TUCKER 5401 Kingston Pike Suite 600 Knoxville TN 37919	Common	10/23/2026	3500	173250.00

144: Remarks and Signature

Remarks
Date of Notice	11/04/2026
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ Steven B Tucker
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)