Statement of Changes in Beneficial Ownership (4)
April 14 2021 - 2:23PM
Edgar (US Regulatory)
FORM 4
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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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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
*
Ritchie Bradford E |
2. Issuer Name and Ticker or Trading Symbol
SUMMIT FINANCIAL GROUP, INC.
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SMMF
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President, Subsidiary Bank |
(Last)
(First)
(Middle)
119 CORNWALL LANE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/14/2021 |
(Street)
CHARLESTON, WV 25314
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 4/14/2021 (3) | | J(4) | | 472.7541 | A | $0 | 7036.0245 | I | by ESOP |
Common Stock | | | | | | | | 16781 | D | |
Table II - Derivative Securities 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 | 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 of Derivative Security: 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 |
Employee Stock Option (Right to Buy) | $2.54 | | | | | | | 7/27/2011 (1) | 7/27/2025 (2) | Common Stock | 5000 | | 5000 | D | |
Stock-Settled Stock Appreciation Rights | $12.01 | | | | | | | 4/22/2016 (1) | 4/23/2025 | Common Stock | 17112 | | 17112 | D | |
Stock-Settled Stock Appreciation Rights | $26.01 | | | | | | | 2/9/2018 (1) | 2/9/2027 | Common Stock | 5452 | | 5452 | D | |
Stock-Settled Stock Appreciation Rights | $23.94 | | | | | | | 2/7/2020 (1) | 2/7/2029 | Common Stock | 11281 | | 11281 | D | |
Explanation of Responses: |
(1) | Option and/or SAR vests in 5 equal annual instamments with beginning date indicated. |
(2) | Option and/or SAR expires in 5 equal annual installments with the final date indicated. |
(3) | The information reported herein is based on a plan statement dated 12/31/2020 received in April 2021. |
(4) | Between January 1, 2020 and December 31, 2020, acquired 472.7541 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 |
Ritchie Bradford E 119 CORNWALL LANE CHARLESTON, WV 25314 |
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| President, Subsidiary Bank |
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Signatures
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Teresa D. Ely, Lmtd. POA, Attorney-In-Fact | | 4/14/2021 |
**Signature of Reporting Person | Date |
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