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: 36 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-12-03: Reporting owner HAWSE THOMAS J III; Form 4; Security 8% Non-cumulative Convertible Preferred Stock, Series 2011; Transaction Holding.
- 2013-11-26: Reporting owner BEAN OSCAR M; Form 4; Security 8% Non-Cumulative Convertible Preferred Stock, Series 2009; Transaction Holding.
- 2013-11-26: Reporting owner BEAN OSCAR M; Form 4; Security 8% Non-Cumulative Convertible Preferred Stock, Series 2011; Transaction Holding.
- 2013-10-28: Reporting owner TISSUE ROBERT S; Form 4; Security 8% Non-Cumulative Convertible Preferred Stock, Series 2009; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-12-03 holding as of filing | HAWSE THOMAS J III Director | 4 | 8% Non-cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | Holding | 187 owned after | $4.00 exercise price | 2013-12-03 | |
| 2013-11-26 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 | 2013-11-26 | |
| 2013-11-26 holding as of filing | BEAN OSCAR M Director, Officer (Chairman) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct · (m) | Holding | 200 owned after | $4.00 exercise price | 2013-11-26 | |
| 2013-10-28 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 | 2013-10-28 | |
| 2013-10-28 holding as of filing | TISSUE ROBERT S Officer (Senior VP & CFO) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | Holding | 30 owned after | $4.00 exercise price | 2013-10-28 | |
| 2013-10-28 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 | 2013-10-28 | |
| 2013-10-28 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 | 2 owned after | $4.00 exercise price | 2013-10-28 | |
| 2013-06-26 holding as of filing | Hott Jeffrey E. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Direct · (m) | Holding | 50 owned after | $5.50 exercise price | 2013-06-26 | |
| 2013-06-26 holding as of filing | Hott Jeffrey E. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · (m) | Holding | 50 owned after | $5.50 exercise price | 2013-06-26 | |
| 2013-06-26 holding as of filing | Hott Jeffrey E. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Direct · (m) | Holding | 50 owned after | $5.50 exercise price | 2013-06-26 | |
| 2013-06-26 holding as of filing | Hott Jeffrey E. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · (m) | Holding | 50 owned after | $5.50 exercise price | 2013-06-26 | |
| 2013-06-25 holding as of filing | Hott Jeffrey E. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Direct · (m) | Holding | 50 owned after | $5.50 exercise price | 2013-06-25 | |
| 2013-06-25 holding as of filing | Hott Jeffrey E. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · (m) | Holding | 50 owned after | $5.50 exercise price | 2013-06-25 | |
| 2013-06-19 holding as of filing | CRITES JOHN W Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | Holding | 250,000 owned after | $4.00 exercise price | 2013-06-19 | |
| 2013-05-28 holding as of filing | Hott Jeffrey E. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Direct · (m) | Holding | 50 owned after | $5.50 exercise price | 2013-05-28 | |
| 2013-05-28 holding as of filing | Hott Jeffrey E. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · (m) | Holding | 50 owned after | $5.50 exercise price | 2013-05-28 | |
| 2013-05-23 holding as of filing | HAWSE THOMAS J III Director | 4 | 8% Non-cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | Holding | 187 owned after | $4.00 exercise price | 2013-05-23 | |
| 2013-05-22 holding as of filing | HAWSE THOMAS J III Director | 4 | 8% Non-cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | Holding | 187 owned after | $4.00 exercise price | 2013-05-22 | |
| 2013-05-17 holding as of filing | HAWSE THOMAS J III Director | 4 | 8% Non-cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | Holding | 187 owned after | $4.00 exercise price | 2013-05-17 | |
| 2013-05-09 holding as of filing | FRYE PATRICK Officer (Sr. VP & Chief of Credit Admin) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Direct | Holding | 250 owned after | $5.50 exercise price | 2013-05-09 | |
| 2013-05-09 holding as of filing | Ritchie Bradford E Officer (President, Subsidiary Bank) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Sries 2009 Derivative · Direct | Holding | 100 owned after | $5.50 exercise price | 2013-05-09 | |
| 2013-05-09 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 | 2013-05-09 | |
| 2013-05-09 holding as of filing | TISSUE ROBERT S Officer (Senior VP & CFO) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | Holding | 30 owned after | $4.00 exercise price | 2013-05-09 | |
| 2013-05-09 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 | 2013-05-09 | |
| 2013-05-09 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 | 2 owned after | $4.00 exercise price | 2013-05-09 | |
| 2013-05-09 holding as of filing | HAWSE THOMAS J III Director | 4 | 8% Non-cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | Holding | 187 owned after | $4.00 exercise price | 2013-05-09 | |
| 2013-03-29 holding as of filing | Hott Jeffrey E. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Direct · (m) | Holding | 50 owned after | $5.50 exercise price | 2013-03-29 | |
| 2013-03-29 holding as of filing | Hott Jeffrey E. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · (m) | Holding | 50 owned after | $5.50 exercise price | 2013-03-29 | |
| 2013-02-15 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 | 2013-02-15 | |
| 2013-02-15 holding as of filing | TISSUE ROBERT S Officer (Senior VP & CFO) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | Holding | 30 owned after | $4.00 exercise price | 2013-02-15 | |
| 2013-02-12 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 | 2013-02-12 | |
| 2013-02-12 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 | 2 owned after | $4.00 exercise price | 2013-02-12 | |
| 2013-02-08 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 | 2013-02-08 | |
| 2013-02-08 holding as of filing | TISSUE ROBERT S Officer (Senior VP & CFO) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | Holding | 30 owned after | $4.00 exercise price | 2013-02-08 | |
| 2013-02-07 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 | 2013-02-07 | |
| 2013-02-07 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 | 2 owned after | $4.00 exercise price | 2013-02-07 |