Annual Statement of Changes in Beneficial Ownership (5)
April 30 2020 - 10:14AM
Edgar (US Regulatory)
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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).
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Form 3 Holdings Reported
[X]
Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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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1. Name and Address of Reporting Person
*
MADDY H CHARLES III | 2. Issuer Name and Ticker or Trading SymbolSUMMIT FINANCIAL GROUP INC [SMMF] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President & CEO |
(Last)
(First)
(Middle)
300 NORTH MAIN STREET | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 4/29/2020 |
(Street)
MOOREFIELD, WV 26836
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) | 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
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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. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. 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) |
Amount | (A) or (D) | Price |
Common Stock | | | | | | | 41250 | D | |
Common Stock | | | | | | | 38850 | I | By Spouse |
Common Stock | 4/29/2020 (2) | | J4 (3) | 1430.6336 | A | $0.00 | 27114.4014 | I | By ESOP |
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 Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 (MM/DD/YYYY) | 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 at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock-Settled Stock Appreciation Rights | $12.01 | | | | | | 4/23/2016 (1) | 4/22/2025 | Common Stock | 20910 | | 20910 | D | |
Stock-Settled Stock Appreciation Rights | $26.01 | | | | | | 2/9/2018 (1) | 2/6/2027 | Common Stock | 15668 | | 15668 | D | |
Stock-Settled Stock Appreciation Rights | $23.94 | | | | | | 2/7/2020 (1) | 2/7/2029 | Common Stock | 31597 | | 31597 | D | |
Explanation of Responses: |
(1) | Option and/or SAR vests in 5 equal annual installments with the beginning date indicated. |
(2) | The information reported herein is based on a plan statement dated 12/31/2019 received in April 2020. |
(3) | Between January 1, 2019 and December 31, 2019, acquired 1430.6336 shares of Summit Common Stock under the Summit Financial Group, Inc. Employee Stock Ownership Plan. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
MADDY H CHARLES III 300 NORTH MAIN STREET MOOREFIELD, WV 26836 | X |
| President & CEO |
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Signatures
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Teresa D. Ely, Lmtd POA, Attorney-in=Fact | | 4/30/2020 |
**Signature of Reporting Person | Date |
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