Filing Details
- Accession Number:
- 0001140361-13-007785
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-02-15 16:17:00
- Reporting Period:
- 2013-02-14
- Filing Date:
- 2013-02-15
- Accepted Time:
- 2013-02-15 16:17:00
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 811808 | Summit Financial Group Inc | SMMF | State Commercial Banks (6022) | 550672148 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1186836 | S Robert Tissue | Po Box 1822 Lewisburg WV 24901 | Senior Vp & Cfo | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-02-14 | 2,400 | $5.21 | 23,118 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-02-14 | 800 | $4.63 | 23,918 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-02-14 | 853 | $7.16 | 23,065 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-02-15 | 2,347 | $7.17 | 20,718 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2013-02-14 | 2,400 | $5.21 | 2,400 | $5.21 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2013-02-14 | 800 | $4.63 | 800 | $4.63 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 1999-02-26 | 2013-02-26 | No | 4 | M | Direct |
| 800 | 2000-02-25 | 2014-02-25 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 700 | Indirect | by Spouse |
| Common Stock | 7,247 | Indirect | By ESOP |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Buy) | $5.95 | 2002-10-26 | 2016-10-26 | 4,000 | 4,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $9.49 | 2003-12-06 | 2017-12-06 | 4,400 | 4,400 | Direct |
| Common Stock | Employee Stock Optin (Right to Buy) | $17.79 | 2004-12-12 | 2018-12-12 | 7,000 | 7,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $25.93 | 2005-12-06 | 2019-12-07 | 8,000 | 8,000 | Direct |
| Common Stock | Employee Stock Option Plan (Right to Buy) | $24.44 | 2005-12-06 | 2015-12-06 | 10,000 | 10,000 | Direct |
| Common Stock | 8% Non-Cumulative Convertible Preferred Stock, Series 2009 | $5.50 | 2010-03-01 | 2019-06-01 | 36,363 | 200 | Direct |
| Common Stock | 8% Non-Cumulative Convertible Preferred Stock, Series 2011 | $4.00 | 2012-03-01 | 2021-06-01 | 3,750 | 30 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2016-10-26 | 4,000 | 4,000 | Direct |
| 2017-12-06 | 4,400 | 4,400 | Direct |
| 2018-12-12 | 7,000 | 7,000 | Direct |
| 2019-12-07 | 8,000 | 8,000 | Direct |
| 2015-12-06 | 10,000 | 10,000 | Direct |
| 2019-06-01 | 36,363 | 200 | Direct |
| 2021-06-01 | 3,750 | 30 | Direct |
Footnotes
- Option vests in 5 equal annual installments with beginning date indicated.
- Option expires in 5 equal annual installments with the final dated indicated.
- The 2009 Series Preferred Stock and 2011 Series Preferred Stock may be converted at the holder's option on any dividend payment date.
Billionaire Hedge Funds
