SEC Form 4 · accession 0001140361-15-023109
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
Jeffrey E. Hott
Director
Period of report
Jun 1, 2015
Accepted (ET)
Jun 3, 2015 · 6:07 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 | 26 | $9.75 | A | 12,369 | D | |
| Common Stock | Jun 1, 2015 | X | 4,821 | $9.75 | A | 98,871 | I | By EE Hott, Inc. |
| Common Stock | Jun 1, 2015 | X | 1,215 | $9.75 | A | 22,315 | I | By Franklin Oil |
| Common Stock | holding | — | — | — | 480 | I | By Spouse | |
| Common Stock | holding | — | — | — | 400 | I | As Cust for Son |
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)F1,F2 | $9.75 | Jun 1, 2015 | X | 26 | D | Apr 10, 2015 | May 29, 2015 | Common Stock | 26 | 0 | D |
| Subscription Rights (right to buy)F1,F2 | $9.75 | Jun 1, 2015 | X | 4,821 | D | Apr 10, 2015 | May 29, 2015 | Common Stock | 4,821 | 0 | I |
| Subscription Rights (right to buy)F1,F2 | $9.75 | Jun 1, 2015 | X | 1,215 | D | Apr 10, 2015 | May 29, 2015 | Common Stock | 1,215 | 0 | I |
Explanation of responses
- F1The 2009 Series Preferred Stock may be converted at the holder's option on any dividend payment date.
- F2Conversion of Series 2009 Preferred Stock to Common Stock on 12/01/2014.