SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol SUMMIT FINANCIAL GROUP INC [ SMMF ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 06/01/2015 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) 06/03/2015 | 6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 06/01/2015 | X | 2,428(1) | A | $9.75 | 44,607(1) | I | by 401(k) Plan FBO Spouse | ||
Common Stock | 06/01/2015 | X | 1,047(2) | A | $9.75 | 19,228 | I | By Sellaro Enterprises, Inc. |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Subscription Rights (right to buy) | $9.95 | 06/01/2015 | X | 42,179(3) | 04/10/2015 | 05/29/2015 | Common Stock | 2,248(3) | $0 | 0 | I | By Spouse 401(k) | |||
Subscription Rights (right to buy) | $9.95 | 06/01/2015 | X | 18,181(4) | 04/10/2015 | 05/29/2015 | Common Stock | 1,047(4) | $0 | 0 | I | By Sellaro Enterprises, Inc. |
Explanation of Responses: |
1. On June 3, 2015, the reporting person filed a Form 4 reporting the acquisition of 2,692 shares of common stock. The correct number of shares of common stock acquired was 2,428. As of June 1, 2015, the amount of securities beneficially owned following the reported transaction was 44,607 shares of common stock. |
2. The reporting person inadvertently omitted reporting on her original Form 4 the acquision of 1,047 shares by a company controlled by the reporting person's spouse. |
3. On June 3, 2015, the reporting person filed a Form 4 reporting the exercise of 2,692 subscription rights to buy common stock. The correct number of subscription rights exercised was 42,179. The reporting person also reported the acquisition of 2,692 shares of common stock. The correct number of shares of common stock acquired was 2,248. |
4. The reporting person inadvertently omitted reporting the exercise of 18,181 subscription rights to buy common stock by a company controlled by her spouse resulting in the acquisition of 1,047 shares of common stock. |
Remarks: |
Teresa D. Ely, Lmtd POA Attorney-in-Fact | 07/23/2015 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |