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: 46 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-05: Reporting owner FRYE PATRICK; Form 4; Security 8% Non-Cumulative Convertible Preferred Stock, Series 2009; Transaction Holding.
- 2014-12-02: Reporting owner MADDY H CHARLES III; Form 4; Security 8% Non-Cumulative Convertible Preferred Stock, Series 2009; Transaction Holding.
- 2014-12-02: Reporting owner MADDY H CHARLES III; Form 4; Security 8% Non-Cumulative Convertible Preferred Stock, Series 2011; Transaction Holding.
- 2014-12-01: Reporting owner Hott Jeffrey E.; Form 4; Security 8% Non-Cumulative Convertible Preferred Stock, Series 2009; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-12-05 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 | 2014-12-05 | |
| 2014-12-02 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 | 2014-12-02 | |
| 2014-12-02 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 | 2014-12-02 | |
| 2014-12-01 | Hott Jeffrey E. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Direct · (m) | C Conversion of derivative security | −9,091 0 owned after | $5.50 exercise price | 2014-12-08 | |
| 2014-12-01 | Hott Jeffrey E. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · (m) | C Conversion of derivative security | −9,091 0 owned after | $5.50 exercise price | 2014-12-08 | |
| 2014-11-12 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 | 2014-11-12 | |
| 2014-11-10 holding as of filing | HINKLE GARY L Director | 4 | 8% Non-Cumulative Convertible Preferred Stock Series 2009 Derivative · Direct · (m) | Holding | 100 owned after | $5.50 exercise price | 2014-11-10 | |
| 2014-11-10 holding as of filing | HINKLE GARY L Director | 4 | 8% Non-Cumulative Convertible Preferred Stock Series 2011 Derivative · Direct · (m) | Holding | 200 owned after | $4.00 exercise price | 2014-11-10 | |
| 2014-11-10 holding as of filing | HINKLE GARY L Director | 4 | 8% Non-Cumulative Convertible Preferred Stock Series 2011 Derivative · Indirect · (m) | Holding | 100 owned after | $4.00 exercise price | 2014-11-10 | |
| 2014-10-31 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 | 2014-10-31 | |
| 2014-10-31 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 | 2014-10-31 | |
| 2014-10-31 holding as of filing | HINKLE GARY L Director | 4 | 8% Non-Cumulative Convertible Preferred Stock Series 2009 Derivative · Direct · (m) | Holding | 100 owned after | $5.50 exercise price | 2014-10-31 | |
| 2014-10-31 holding as of filing | HINKLE GARY L Director | 4 | 8% Non-Cumulative Convertible Preferred Stock Series 2011 Derivative · Direct · (m) | Holding | 200 owned after | $4.00 exercise price | 2014-10-31 | |
| 2014-10-31 holding as of filing | HINKLE GARY L Director | 4 | 8% Non-Cumulative Convertible Preferred Stock Series 2011 Derivative · Indirect · (m) | Holding | 100 owned after | $4.00 exercise price | 2014-10-31 | |
| 2014-10-31 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 | 2014-10-31 | |
| 2014-10-31 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 | 2014-10-31 | |
| 2014-10-23 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 | 2014-10-23 | |
| 2014-10-23 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 | 2014-10-23 | |
| 2014-10-22 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 | 2014-10-22 | |
| 2014-10-22 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 | 2014-10-22 | |
| 2014-09-16 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 | 2014-09-16 | |
| 2014-09-16 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 | 2014-09-16 | |
| 2014-06-30 | CRITES JOHN W Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct · (m) | G Bona fide gift | −1,503 497 owned after | $4.00 exercise price | 2014-07-02 | |
| 2014-06-30 | CRITES JOHN W Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Indirect · (m) | G Bona fide gift | +1,169 1,169 owned after | $4.00 exercise price | 2014-07-02 | |
| 2014-05-07 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 | 2014-05-07 | |
| 2014-05-07 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 | 2014-05-07 | |
| 2014-05-07 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 | 2014-05-07 | |
| 2014-05-07 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 | 2014-05-07 | |
| 2014-05-07 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 | 2014-05-07 | |
| 2014-05-07 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 | 2014-05-07 | |
| 2014-03-10 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 | 2014-03-10 | |
| 2014-03-10 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 | 2014-03-10 | |
| 2014-02-26 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 | 2014-02-26 | |
| 2014-02-26 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 | 2014-02-26 | |
| 2014-02-25 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 | 2014-02-25 | |
| 2014-02-25 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 | 2014-02-25 | |
| 2014-02-07 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 | 2014-02-07 | |
| 2014-02-07 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 | 2014-02-07 | |
| 2014-02-07 holding as of filing | HINKLE GARY L Director | 4 | 8% Non-Cumulative Convertible Preferred Stock Series 2009 Derivative · Direct · (m) | Holding | 100 owned after | $5.50 exercise price | 2014-02-07 | |
| 2014-02-07 holding as of filing | HINKLE GARY L Director | 4 | 8% Non-Cumulative Convertible Preferred Stock Series 2011 Derivative · Direct · (m) | Holding | 200 owned after | $4.00 exercise price | 2014-02-07 | |
| 2014-02-07 holding as of filing | HINKLE GARY L Director | 4 | 8% Non-Cumulative Convertible Preferred Stock Series 2011 Derivative · Indirect · (m) | Holding | 100 owned after | $4.00 exercise price | 2014-02-07 | |
| 2014-02-06 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 | 2014-02-06 | |
| 2014-02-06 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 | 2014-02-06 | |
| 2014-02-06 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 | 2014-02-06 | |
| 2014-01-24 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 | 2014-01-24 | |
| 2014-01-24 holding as of filing | BENSENHAVER DEWEY F Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | Holding | 100 owned after | $4.00 exercise price | 2014-01-24 |