SUMMIT FINANCIAL GROUP, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 79 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-12-27: Reporting owner HAWSE THOMAS J III; Form 4/A; Security 8% Non-cumulative Convertible Preferred Stock, Series 2011; Transaction Holding.
- 2011-12-27: Reporting owner HAWSE THOMAS J III; Form 4; Security 8% Non-cumulative Convertible Preferred Stock, Series 2011; Transaction Holding.
- 2011-12-19: Reporting owner HAWSE THOMAS J III; Form 4; Security 8% Non-cumulative Convertible Preferred Stock, Series 2011; Transaction Holding.
- 2011-12-12: Reporting owner HAWSE THOMAS J III; Form 4; Security 8% Non-cumulative Convertible Preferred Stock, Series 2011; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-12-27 holding as of filing | HAWSE THOMAS J III Director | 4/A | 8% Non-cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | Holding | 23,375 owned after | $4.00 exercise price | 2011-12-27 | |
| 2011-12-27 holding as of filing | HAWSE THOMAS J III Director | 4 | 8% Non-cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | Holding | 23,375 owned after | $4.00 exercise price | 2011-12-27 | |
| 2011-12-19 holding as of filing | HAWSE THOMAS J III Director | 4 | 8% Non-cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | Holding | 23,375 owned after | $4.00 exercise price | 2011-12-19 | |
| 2011-12-12 holding as of filing | HAWSE THOMAS J III Director | 4 | 8% Non-cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | Holding | 23,375 owned after | $4.00 exercise price | 2011-12-12 | |
| 2011-12-08 holding as of filing | BEAN OSCAR M Director, Officer (Chairman) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · (m) | Holding | 100 owned after | $5.50 exercise price | 2011-12-08 | |
| 2011-12-08 holding as of filing | BEAN OSCAR M Director, Officer (Chairman) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct · (m) | Holding | 25,000 owned after | $4.00 exercise price | 2011-12-08 | |
| 2011-12-07 holding as of filing | TISSUE ROBERT S Officer (Senior VP & CFO) | 4/A | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Direct | Holding | 200 owned after | $5.50 exercise price | 2011-12-07 | |
| 2011-12-06 holding as of filing | HAWSE THOMAS J III Director | 4 | 8% Non-cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | Holding | 23,375 owned after | $4.00 exercise price | 2011-12-06 | |
| 2011-12-06 holding as of filing | BEAN OSCAR M Director, Officer (Chairman) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · (m) | Holding | 100 owned after | $5.50 exercise price | 2011-12-06 | |
| 2011-12-06 holding as of filing | BEAN OSCAR M Director, Officer (Chairman) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct · (m) | Holding | 25,000 owned after | $4.00 exercise price | 2011-12-06 | |
| 2011-12-05 holding as of filing | HINKLE GARY L Director | 4/A | 8% Non-Cumulative Convertible Preferred Stock Series 2009 Derivative · Direct · (m) | Holding | 100 owned after | $5.50 exercise price | 2011-12-05 | |
| 2011-12-05 holding as of filing | HINKLE GARY L Director | 4/A | 8% Non-Cumulative Convertible Preferred Stock Series 2011 Derivative · Direct · (m) | Holding | 25,000 owned after | $500.00 exercise price | 2011-12-05 | |
| 2011-12-05 holding as of filing | HINKLE GARY L Director | 4/A | 8% Non-Cumulative Convertible Preferred Stock Series 2011 Derivative · Indirect · (m) | Holding | 12,500 owned after | $4.00 exercise price | 2011-12-05 | |
| 2011-12-05 holding as of filing | HINKLE GARY L Director | 4/A | 8% Non-Cumulative Convertible Preferred Stock Series 2009 Derivative · Direct · (m) | Holding | 100 owned after | $5.50 exercise price | 2011-12-05 | |
| 2011-12-05 holding as of filing | HINKLE GARY L Director | 4/A | 8% Non-Cumulative Convertible Preferred Stock Series 2011 Derivative · Direct · (m) | Holding | 25,000 owned after | $500.00 exercise price | 2011-12-05 | |
| 2011-12-05 holding as of filing | HINKLE GARY L Director | 4/A | 8% Non-Cumulative Convertible Preferred Stock Series 2011 Derivative · Indirect · (m) | Holding | 12,500 owned after | $4.00 exercise price | 2011-12-05 | |
| 2011-12-05 holding as of filing | MADDY H CHARLES III Director, Officer (President & CEO) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · (m) | Holding | 250 owned after | $5.50 exercise price | 2011-12-05 | |
| 2011-12-05 holding as of filing | MADDY H CHARLES III Director, Officer (President & CEO) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct · (m) | Holding | 250 owned after | $4.00 exercise price | 2011-12-05 | |
| 2011-12-02 holding as of filing | George Georgette R. Director | 4/A | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · By 401 (k) Plan FBO Spouse | Holding | 100 owned after | $5.50 exercise price | 2011-12-02 | |
| 2011-12-02 holding as of filing | George Georgette R. Director | 4/A | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · By Father-in-Law and Mother-in-Law | Holding | 200 owned after | $5.50 exercise price | 2011-12-02 | |
| 2011-12-02 holding as of filing | George Georgette R. Director | 4/A | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · By Mother | Holding | 400 owned after | $5.50 exercise price | 2011-12-02 | |
| 2011-12-02 holding as of filing | George Georgette R. Director | 4/A | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · By George Brothers Investment Partnership | Holding | 300 owned after | $5.50 exercise price | 2011-12-02 | |
| 2011-12-02 holding as of filing | George Georgette R. Director | 4/A | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Indirect · By 401(k) Plan FBO Spouse | Holding | 12,500 owned after | $4.00 exercise price | 2011-12-02 | |
| 2011-12-02 holding as of filing | George Georgette R. Director | 4/A | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Indirect · By George Brothers Investment Partnership | Holding | 12,500 owned after | $4.00 exercise price | 2011-12-02 | |
| 2011-12-02 holding as of filing | BENSENHAVER DEWEY F Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Direct | Holding | 100 owned after | $5.50 exercise price | 2011-12-02 | |
| 2011-12-02 holding as of filing | George Georgette R. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · By 401 (k) Plan FBO Spouse | Holding | 100 owned after | $5.50 exercise price | 2011-12-02 | |
| 2011-12-02 holding as of filing | George Georgette R. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · By Father-in-Law and Mother-in-Law | Holding | 200 owned after | $5.50 exercise price | 2011-12-02 | |
| 2011-12-02 holding as of filing | George Georgette R. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · By Mother | Holding | 400 owned after | $5.50 exercise price | 2011-12-02 | |
| 2011-12-02 holding as of filing | George Georgette R. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · By George Brothers Investment Partnership | Holding | 300 owned after | $5.50 exercise price | 2011-12-02 | |
| 2011-12-02 holding as of filing | George Georgette R. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Indirect · By 401(k) Plan FBO Spouse | Holding | 12,500 owned after | $4.00 exercise price | 2011-12-02 | |
| 2011-12-02 holding as of filing | George Georgette R. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Indirect · By George Brothers Investment Partnership | Holding | 12,500 owned after | $4.00 exercise price | 2011-12-02 | |
| 2011-12-02 holding as of filing | HINKLE GARY L Director | 4/A | 8% Non-Cumulative Convertible Preferred Stock Series 2009 Derivative · Direct | Holding | 100 owned after | $5.50 exercise price | 2011-12-02 | |
| 2011-12-02 holding as of filing | HINKLE GARY L Director | 4/A | 8% Non-Cumulative Convertible Preferred Stock Series 2011 Derivative · Direct | Holding | 25,000 owned after | $500.00 exercise price | 2011-12-02 | |
| 2011-12-02 holding as of filing | HUFFMAN GERALD W Director | 4 | 8% Non-Cumulative Convertible Preferred Stock Series 2009 Derivative · Direct | Holding | 100 owned after | $5.50 exercise price | 2011-12-02 | |
| 2011-11-30 | BENSENHAVER DEWEY F Director | 4/A | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +100 100 owned after | $500.00 | 2012-02-21 | |
| 2011-11-30 | George Georgette R. Director | 4/A | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +300 500 owned after | $500.00 | 2012-02-13 | |
| 2011-11-30 | George Georgette R. Director | 4/A | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +200 200 owned after | $500.00 | 2012-02-13 | |
| 2011-11-30 | PICCIRILLO CHARLES Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +50 50 owned after | $500.00 | 2012-02-10 | |
| 2011-11-30 | George Georgette R. Director | 4/A | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +300 62,500 owned after | $500.00 | 2011-12-02 | |
| 2011-11-30 | George Georgette R. Director | 4/A | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +200 25,000 owned after | $500.00 | 2011-12-02 | |
| 2011-11-30 | BENSENHAVER DEWEY F Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +100 100 owned after | $500.00 | 2011-12-02 | |
| 2011-11-30 | OURS GEORGE R JR Director, Officer (Vice-Chairman) | 4 | 8% Non-Cumulative Convertible Preferred Stock Series 2011 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +100 12,500 owned after | $500.00 | 2011-12-02 | |
| 2011-11-30 | George Georgette R. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +300 62,500 owned after | $500.00 | 2011-12-02 | |
| 2011-11-30 | George Georgette R. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +200 25,000 owned after | $500.00 | 2011-12-02 | |
| 2011-11-30 | HINKLE GARY L Director | 4/A | 8% Non-Cumulative Convertible Preferred Stock Series 2011 Derivative · Indirect · By H.T. Services | P Open market or private purchase of non-derivative or derivative security | +100 12,500 owned after | $500.00 | 2011-12-02 | |
| 2011-11-30 | HUFFMAN GERALD W Director | 4 | 8% Non-Cumulative Convertible Preferred Stock Series 2011 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +100 37,500 owned after | $500.00 | 2011-12-02 | |
| 2011-11-02 holding as of filing | George Georgette R. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · By 401 (k) Plan FBO Spouse | Holding | 100 owned after | $5.50 exercise price | 2011-11-02 | |
| 2011-11-02 holding as of filing | George Georgette R. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · By Father-in-Law and Mother-in-Law | Holding | 200 owned after | $5.50 exercise price | 2011-11-02 | |
| 2011-11-02 holding as of filing | George Georgette R. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · By Mother | Holding | 400 owned after | $5.50 exercise price | 2011-11-02 | |
| 2011-11-02 holding as of filing | George Georgette R. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · By George Brothers Investment Partnership | Holding | 300 owned after | $5.50 exercise price | 2011-11-02 | |
| 2011-11-02 holding as of filing | BEAN OSCAR M Director, Officer (Chairman) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · (m) | Holding | 100 owned after | $5.50 exercise price | 2011-11-02 | |
| 2011-11-02 holding as of filing | TISSUE ROBERT S Officer (Senior VP & CFO) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Direct | Holding | 200 owned after | $5.50 exercise price | 2011-11-02 | |
| 2011-11-02 holding as of filing | HUFFMAN GERALD W Director | 4 | 8% Non-Cumulative Convertible Preferred Stock Series 2009 Derivative · Direct | Holding | 100 owned after | $5.50 exercise price | 2011-11-02 | |
| 2011-11-02 holding as of filing | MADDY H CHARLES III Director, Officer (President & CEO) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · (m) | Holding | 250 owned after | $5.50 exercise price | 2011-11-02 | |
| 2011-11-02 holding as of filing | HINKLE GARY L Director | 4 | 8% Non-Cumulative Convertible Preferred Stock Series 2009 Derivative · Direct | Holding | 100 owned after | $5.50 exercise price | 2011-11-02 | |
| 2011-11-02 holding as of filing | PICCIRILLO CHARLES Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · (m) | Holding | 100 owned after | $5.50 exercise price | 2011-11-02 | |
| 2011-10-31 | George Georgette R. Director | 4/A | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Indirect · By 401(k) Plan FBO Spouse | P Open market or private purchase of non-derivative or derivative security | +118 14,750 owned after | $500.00 | 2015-07-23 | |
| 2011-10-31 | Geary James P II Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Indirect · By WE Mullenax Trust | P Open market or private purchase of non-derivative or derivative security | +50 6,250 owned after | $500.00 | 2012-01-11 | |
| 2011-10-31 | TISSUE ROBERT S Officer (Senior VP & CFO) | 4/A | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +30 3,750 owned after | $500.00 | 2011-12-07 | |
| 2011-10-31 | George Georgette R. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Indirect · By Profit Sharing Plan FBO Father | P Open market or private purchase of non-derivative or derivative security | +200 25,000 owned after | $500.00 | 2011-11-02 | |
| 2011-10-31 | George Georgette R. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Indirect · By 401(k) Plan FBO Spouse | P Open market or private purchase of non-derivative or derivative security | +100 12,500 owned after | $500.00 | 2011-11-02 | |
| 2011-10-31 | George Georgette R. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Indirect · By George Brothers Investment Partnership | P Open market or private purchase of non-derivative or derivative security | +100 12,500 owned after | $500.00 | 2011-11-02 | |
| 2011-10-31 | BEAN OSCAR M Director, Officer (Chairman) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +200 25,000 owned after | $500.00 | 2011-11-02 | |
| 2011-10-31 | TISSUE ROBERT S Officer (Senior VP & CFO) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +34 4,250 owned after | $500.00 | 2011-11-02 | |
| 2011-10-31 | Pace George W. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5 625 owned after | $500.00 | 2011-11-02 | |
| 2011-10-31 | HUFFMAN GERALD W Director | 4 | 8% Non-Cumulative Convertible Preferred Stock Series 2011 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +200 25,000 owned after | $500.00 | 2011-11-02 | |
| 2011-10-31 | MADDY H CHARLES III Director, Officer (President & CEO) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2 250 owned after | $500.00 | 2011-11-02 | |
| 2011-10-31 | CRITES JOHN W Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,000 250,000 owned after | $500.00 | 2011-11-02 | |
| 2011-10-31 | HAWSE THOMAS J III Director | 4 | 8% Non-cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +187 23,375 owned after | $500.00 | 2011-11-02 | |
| 2011-10-31 | HINKLE GARY L Director | 4 | 8% Non-Cumulative Convertible Preferred Stock Series 2011 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +200 25,000 owned after | $500.00 | 2011-11-02 | |
| 2011-10-31 | HEISHMAN PHOEBE F Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Indirect · by Children | P Open market or private purchase of non-derivative or derivative security | +50 6,250 owned after | $500.00 | 2011-11-02 | |
| 2011-10-31 | PICCIRILLO CHARLES Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +2 250 owned after | $500.00 | 2011-11-02 | |
| 2011-10-31 | PICCIRILLO CHARLES Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +10 1,250 owned after | $500.00 | 2011-11-02 | |
| 2011-05-24 holding as of filing | Hott Jeffrey E. Director | 3 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Direct · (m) | Holding | $5.50 exercise price | 2011-05-24 | ||
| 2011-05-24 holding as of filing | Hott Jeffrey E. Director | 3 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · (m) | Holding | $5.50 exercise price | 2011-05-24 | ||
| 2011-04-28 holding as of filing | FRYE PATRICK Director, Officer (Sr. VP & CCO) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Direct · (m) | Holding | 250 owned after | $5.50 exercise price | 2011-04-28 | |
| 2011-04-28 holding as of filing | TISSUE ROBERT S Officer (Senior VP & CFO) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Direct | Holding | 200 owned after | $5.50 exercise price | 2011-04-28 | |
| 2011-04-28 holding as of filing | MILLER RONALD F Director, Officer (President, Subsidiary Bank) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Direct | Holding | 100 owned after | $5.50 exercise price | 2011-04-28 | |
| 2011-04-28 holding as of filing | MADDY H CHARLES III Director, Officer (President & CEO) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · (m) | Holding | 250 owned after | $5.50 exercise price | 2011-04-28 |