SEC Form 4 · accession 0001140361-15-023098
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
Thomas J Hawse III
Director
Period of report
Jun 1, 2015
Accepted (ET)
Jun 3, 2015 · 5:42 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 | Jun 1, 2015 | X | 2,437 | $9.75 | A | 99,012 | D | |
| Common Stock | holding | — | — | — | 1,500 | I | By Spouse | |
| Common Stock | holding | — | — | — | 4,109 | I | By Self Directed IRA FBO Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Subscription Rights (right to buy) | $9.75 | Jun 1, 2015 | X | 2,437 | D | Apr 10, 2015 | May 29, 2015 | Common Stock | 2,437 | 0 | D |
| Phantom StockF1,F2 | $0.00 | holding | — | — | — | — | — | Common Stock | 7,585 | 7,585 | D |
Explanation of responses
- F1Each share of Phantom Stock represents the economic equivalent of one share of Summit Common Stock.
- F2Shares of Phantom Stock are payable only in cash following termination of the reporting person's service as a director of Summit.