SEC Form 4 · accession 0001140361-15-011977
SUMMIT FINANCIAL GROUP INC · SMMF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bradford E Ritchie
Officer — President, Subsidiary Bank
Period of report
Mar 12, 2015
Accepted (ET)
Mar 16, 2015 · 4:36 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 | 18,181 | D | |
| Common Stock | holding | — | — | — | 782 | I | by ESOP |
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, Sries 2009F3 | $5.50 | Mar 12, 2015 | C | 18,181 | D | Mar 1, 2010 | Jun 1, 2019 | Common Stock | 18,181 | 0 | D |
| Employee Stock Option (Right to Buy)F1,F2 | $2.54 | holding | — | — | — | Jul 27, 2011 | Jul 27, 2025 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1Option vests in 5 equal annual instamments with beginning date indicated.
- F2Option expires in 5 equal annual installments with the final date indicated.
- F3The 2009 Series Preferred Stock converted to Common Stock on 3/12/2015.