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: 43 rows in 2015. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-07-24: Reporting owner Hott Jeffrey E.; Form 4; Security 8% Non-Cumulative Convertible Preferred Stock, Series 2009; Transaction Holding.
- 2015-07-24: Reporting owner Hott Jeffrey E.; Form 4; Security 8% Non-Cumulative Convertible Preferred Stock, Series 2009; Transaction Holding.
- 2015-07-23: Reporting owner George Georgette R.; Form 3/A; Security 8% Non-Cumulative Convertible Preferred Stock, Series 2009; Transaction Holding.
- 2015-07-23: Reporting owner George Georgette R.; Form 3/A; Security 8% Non-Cumulative Convertible Preferred Stock, Series 2009; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-07-24 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 | 2015-07-24 | |
| 2015-07-24 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 | 2015-07-24 | |
| 2015-07-23 holding as of filing | George Georgette R. Director | 3/A | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · By Sellaro Enterprise | Holding | $5.50 exercise price | 2015-07-23 | ||
| 2015-07-23 holding as of filing | George Georgette R. Director | 3/A | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · By Father-in-Law and Mother-in-law | Holding | $5.50 exercise price | 2015-07-23 | ||
| 2015-07-23 holding as of filing | George Georgette R. Director | 3/A | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · By Mother | Holding | $5.50 exercise price | 2015-07-23 | ||
| 2015-03-12 | George Georgette R. Director | 4/A | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Indirect · By 401(k) Plan FBO Spouse | C Conversion of derivative security | −14,750 0 owned after | $4.00 exercise price | 2015-07-23 | |
| 2015-03-12 | George Georgette R. Director | 4/A | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · By Sellaro Enterprises, Inc. | C Conversion of derivative security | −18,181 0 owned after | $5.50 exercise price | 2015-07-23 | |
| 2015-03-12 | PICCIRILLO CHARLES Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · (m) | C Conversion of derivative security | −18,181 0 owned after | $5.50 exercise price | 2015-04-10 | |
| 2015-03-12 | PICCIRILLO CHARLES Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Indirect · (m) | C Conversion of derivative security | −250 0 owned after | $4.00 exercise price | 2015-04-10 | |
| 2015-03-12 | PICCIRILLO CHARLES Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct · (m) | C Conversion of derivative security | −7,500 0 owned after | $4.00 exercise price | 2015-04-10 | |
| 2015-03-12 | HAWSE THOMAS J III Director | 4 | 8% Non-cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | C Conversion of derivative security | −23,375 0 owned after | $4.00 exercise price | 2015-03-17 | |
| 2015-03-12 | Pace George W. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | C Conversion of derivative security | −625 0 owned after | $4.00 exercise price | 2015-03-17 | |
| 2015-03-12 | FRYE PATRICK Officer (Sr. VP & Chief of Credit Admin) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Direct | C Conversion of derivative security | −45,454 0 owned after | $5.50 exercise price | 2015-03-17 | |
| 2015-03-12 | CRITES JOHN W Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct · (m) | C Conversion of derivative security | −1,503 0 owned after | $4.00 exercise price | 2015-03-16 | |
| 2015-03-12 | CRITES JOHN W Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Indirect · (m) | C Conversion of derivative security | −1,169 0 owned after | $4.00 exercise price | 2015-03-16 | |
| 2015-03-12 | George Georgette R. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · (m) | C Conversion of derivative security | −18,181 0 owned after | $5.50 exercise price | 2015-03-16 | |
| 2015-03-12 | George Georgette R. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · (m) | C Conversion of derivative security | −18,181 0 owned after | $5.50 exercise price | 2015-03-16 | |
| 2015-03-12 | George Georgette R. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · (m) | C Conversion of derivative security | −72,727 0 owned after | $5.50 exercise price | 2015-03-16 | |
| 2015-03-12 | George Georgette R. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · (m) | C Conversion of derivative security | −54,545 0 owned after | $5.50 exercise price | 2015-03-16 | |
| 2015-03-12 | George Georgette R. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Indirect · (m) | C Conversion of derivative security | −12,500 0 owned after | $4.00 exercise price | 2015-03-16 | |
| 2015-03-12 | George Georgette R. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Indirect · (m) | C Conversion of derivative security | −12,500 0 owned after | $4.00 exercise price | 2015-03-16 | |
| 2015-03-12 | George Georgette R. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Indirect · (m) | C Conversion of derivative security | −300 0 owned after | $4.00 exercise price | 2015-03-16 | |
| 2015-03-12 | George Georgette R. Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct · (m) | C Conversion of derivative security | −200 0 owned after | $4.00 exercise price | 2015-03-16 | |
| 2015-03-12 | TISSUE ROBERT S Officer (Senior VP & CFO) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Direct | C Conversion of derivative security | −36,363 0 owned after | $5.50 exercise price | 2015-03-16 | |
| 2015-03-12 | TISSUE ROBERT S Officer (Senior VP & CFO) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | C Conversion of derivative security | −3,750 0 owned after | $4.00 exercise price | 2015-03-16 | |
| 2015-03-12 | MADDY H CHARLES III Director, Officer (President & CEO) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · (m) | C Conversion of derivative security | −45,454 0 owned after | $5.50 exercise price | 2015-03-16 | |
| 2015-03-12 | MADDY H CHARLES III Director, Officer (President & CEO) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct · (m) | C Conversion of derivative security | −250 0 owned after | $4.00 exercise price | 2015-03-16 | |
| 2015-03-12 | BEAN OSCAR M Director, Officer (Chairman) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · (m) | C Conversion of derivative security | −18,181 0 owned after | $5.50 exercise price | 2015-03-16 | |
| 2015-03-12 | BEAN OSCAR M Director, Officer (Chairman) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct · (m) | C Conversion of derivative security | −25,000 0 owned after | $4.00 exercise price | 2015-03-16 | |
| 2015-03-12 | Ritchie Bradford E Officer (President, Subsidiary Bank) | 4 | 8% Non-Cumulative Convertible Preferred Stock, Sries 2009 Derivative · Direct | C Conversion of derivative security | −18,181 0 owned after | $5.50 exercise price | 2015-03-16 | |
| 2015-03-12 | Geary James P II Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Direct · (m) | C Conversion of derivative security | −18,181 0 owned after | $5.50 exercise price | 2015-03-16 | |
| 2015-03-12 | Geary James P II Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Indirect · (m) | C Conversion of derivative security | −6,250 0 owned after | $4.00 exercise price | 2015-03-16 | |
| 2015-03-12 | HEISHMAN PHOEBE F Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Indirect · by Children | C Conversion of derivative security | −6,250 0 owned after | $4.00 exercise price | 2015-03-16 | |
| 2015-03-12 | HUFFMAN GERALD W Director | 4 | 8% Non-Cumulative Convertible Preferred Stock Series 2009 Derivative · Direct | C Conversion of derivative security | −18,181 0 owned after | $5.50 exercise price | 2015-03-16 | |
| 2015-03-12 | HUFFMAN GERALD W Director | 4 | 8% Non-Cumulative Convertible Preferred Stock Series 2011 Derivative · Direct | C Conversion of derivative security | −37,500 0 owned after | $4.00 exercise price | 2015-03-16 | |
| 2015-03-12 | HINKLE GARY L Director | 4 | 8% Non-Cumulative Convertible Preferred Stock Series 2009 Derivative · Direct · (m) | C Conversion of derivative security | −18,181 0 owned after | $5.50 exercise price | 2015-03-16 | |
| 2015-03-12 | HINKLE GARY L Director | 4 | 8% Non-Cumulative Convertible Preferred Stock Series 2011 Derivative · Direct · (m) | C Conversion of derivative security | −25,000 0 owned after | $4.00 exercise price | 2015-03-16 | |
| 2015-03-12 | HINKLE GARY L Director | 4 | 8% Non-Cumulative Convertible Preferred Stock Series 2011 Derivative · Indirect · (m) | C Conversion of derivative security | −12,500 0 owned after | $4.00 exercise price | 2015-03-16 | |
| 2015-03-12 | BENSENHAVER DEWEY F Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Direct | C Conversion of derivative security | −18,181 0 owned after | $5.50 exercise price | 2015-03-16 | |
| 2015-03-12 | BENSENHAVER DEWEY F Director | 4 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct | C Conversion of derivative security | −12,500 0 owned after | $4.00 exercise price | 2015-03-16 | |
| 2015-03-12 | PICCIRILLO CHARLES Director | 5 | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 Derivative · Indirect · (m) | C Conversion of derivative security | −18,181 0 owned after | $5.50 exercise price | 2015-03-16 | |
| 2015-03-12 | PICCIRILLO CHARLES Director | 5 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Indirect · (m) | C Conversion of derivative security | −250 0 owned after | $4.00 exercise price | 2015-03-16 | |
| 2015-03-12 | PICCIRILLO CHARLES Director | 5 | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 Derivative · Direct · (m) | C Conversion of derivative security | −7,500 0 owned after | $4.00 exercise price | 2015-03-16 |