SEC Form 4 · accession 0001140361-15-011971
SUMMIT FINANCIAL GROUP INC · SMMF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James P Geary II
Director
Period of report
Mar 12, 2015
Accepted (ET)
Mar 16, 2015 · 4:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000811808
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 12, 2015 | C | 18,181 | $5.50 | A | 30,673 | D | |
| Common Stock | Mar 12, 2015 | C | 6,250 | $4.00 | A | 6,250 | I | By WE Mullenax Trust, James P. Geary II, TTEE |
| Common Stock | holding | — | — | — | 136 | I | As Cust for Child |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 8% Non-Cumulative Convertible Preferred Stock, Series 2009F1 | $5.50 | Mar 12, 2015 | C | 18,181 | D | Mar 1, 2010 | Jun 1, 2019 | Common Stock | 18,181 | 0 | D |
| 8% Non-Cumulative Convertible Preferred Stock, Series 2011F1 | $4.00 | Mar 12, 2015 | C | 6,250 | D | Mar 1, 2012 | Jun 1, 2021 | Common Stock | 6,250 | 0 | I |
Explanation of responses
- F1The 2009 Series Preferred Stock and 2011 Series Preferred Stock converted to Common Stock on 3/12/2015.