SEC Form 4 · accession 0001140361-15-012036

SUMMIT FINANCIAL GROUP INC · SMMF

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

Director

Period of report

Mar 12, 2015

Accepted (ET)

Mar 16, 2015 · 6:17 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	25,000	$4.00	A	36,576	D
Common Stock	Mar 12, 2015	C	62,500	$4.00	A	62,500	I	by 401(k) Plan FBO Father
Common Stock	Mar 12, 2015	C	12,500	$4.00	A	21,748	I	by 401(k) Plan FBO Spouse
Common Stock	Mar 12, 2015	C	18,181	$5.50	A	39,929	I	by 401(k) Plan FBO Spouse
Common Stock	Mar 12, 2015	C	12,500	$4.00	A	18,059	I	By George Brothers Investment Partnership
Common Stock	Mar 12, 2015	C	54,545	$5.50	A	72,604	I	By George Brothers Investment Partnership
Common Stock	Mar 12, 2015	C	18,181	$5.50	A	18,181	I	By In-Laws
Common Stock	Mar 12, 2015	C	72,727	$5.50	A	72,727	I	By Mother
Common Stock	holding	—	—		—	1,000	I	By Father

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
8% Non-Cumulative Convertible Preferred Stock, Series 2009^F1	$5.50	Mar 12, 2015	C	18,181	D	Mar 1, 2010	Jun 1, 2019	Common Stock	18,181	I
8% Non-Cumulative Convertible Preferred Stock, Series 2009^F1	$5.50	Mar 12, 2015	C	18,181	D	Mar 1, 2010	Jun 1, 2019	Common Stock	18,181	I
8% Non-Cumulative Convertible Preferred Stock, Series 2009^F1	$5.50	Mar 12, 2015	C	72,727	D	Mar 1, 2010	Jun 1, 2019	Common Stock	72,727	I
8% Non-Cumulative Convertible Preferred Stock, Series 2009^F1	$5.50	Mar 12, 2015	C	54,545	D	Mar 1, 2010	Jun 1, 2019	Common Stock	54,545	I
8% Non-Cumulative Convertible Preferred Stock, Series 2011^F1	$4.00	Mar 12, 2015	C	12,500	D	Mar 1, 2012	Jun 1, 2021	Common Stock	12,500	I
8% Non-Cumulative Convertible Preferred Stock, Series 2011^F1	$4.00	Mar 12, 2015	C	12,500	D	Mar 1, 2012	Jun 1, 2021	Common Stock	12,500	I
8% Non-Cumulative Convertible Preferred Stock, Series 2011^F1	$4.00	Mar 12, 2015	C	300	D	Mar 1, 2012	Jun 1, 2021	Common Stock	62,500	I
8% Non-Cumulative Convertible Preferred Stock, Series 2011^F1	$4.00	Mar 12, 2015	C	200	D	Mar 1, 2012	Jun 1, 2021	Common Stock	25,000	D

F1The 2009 Series Preferred Stock and 2011 Series Preferred Stock converted to Common Stock on 3/12/2015.