SEC Form 4 · accession 0001140361-15-014904
SUMMIT FINANCIAL GROUP INC · SMMF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick Frye
Officer — Sr. VP & Chief of Credit Admin
Period of report
Apr 9, 2015
Accepted (ET)
Apr 9, 2015 · 3:35 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 StockF2 | Apr 6, 2015 | J | 402 | $0.00 | A | 8,539 | I | By ESOP |
| Common Stock | holding | — | — | — | 54,326 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $9.49 | holding | — | — | — | Dec 6, 2003 | Dec 6, 2017 | Common Stock | 3,520 | 2,640 | D |
| Employee Stock Option (Right to Buy)F1 | $17.79 | holding | — | — | — | Dec 12, 2004 | Dec 12, 2018 | Common Stock | 4,800 | 4,800 | D |
| Employee Stock Option (Right to Buy)F1 | $25.93 | holding | — | — | — | Dec 6, 2005 | Dec 7, 2019 | Common Stock | 8,000 | 8,000 | D |
| Employee Stock Option Plan (Right to Buy) | $24.44 | holding | — | — | — | Dec 6, 2005 | Dec 6, 2015 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1Option expires in 5 equal annual installments with the final date indicated.
- F2The information reported herein is based on a plan statement dated 12/31/2014 received in April 2014.
- F3Between January 1, 2014 and December 31, 2014, acquired 402.3135 shares of Summit Common Stock under the Summit Financial Group, Inc. Employee Stock Ownership Plan.