SEC Form 4 · accession 0001567619-19-000471
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
Patrick Frye
Officer — Sr. VP & Chief of Credit Admin
Period of report
Dec 31, 2018
Accepted (ET)
Jan 4, 2019 · 2:36 pm EST
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 | Dec 31, 2018 | G | 1,400 | $0.00 | A | 1,900 | I | As CUST for Grandchild |
| Common Stock | Dec 31, 2018 | G | 1,400 | $0.00 | D | 30,965 | D | |
| Common Stock | holding | — | — | — | 13,071 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F3,F2 | $25.93 | holding | — | — | — | Dec 6, 2005 | Dec 7, 2019 | Common Stock | 1,600 | 1,600 | D |
| Stock-Settled Stock Appreciation RightsF1 | $12.01 | holding | — | — | — | Apr 22, 2016 | Apr 23, 2025 | Common Stock | 17,613 | 17,613 | D |
| Stock-Settled Stock Appreciation RightsF1 | $26.01 | holding | — | — | — | Feb 9, 2018 | Feb 9, 2027 | Common Stock | 5,604 | 5,604 | D |
Explanation of responses
- F1Option and/or SAR vests in 5 equal annual installments with the beginning date indicated.
- F2Option expires in 5 equal annual installments with the final date indicated.
- F3The number of Derivative Securities Beneficially Owned changed due to the expiration of 1600 stock options on December 7, 2018.