Annual Statement of Changes in Beneficial Ownership (5)
12 January 2023 - 3:08AM
Edgar (US Regulatory)
FORM 5
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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
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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
*
JENNINGS SCOTT C | 2. Issuer Name and Ticker or Trading SymbolSUMMIT FINANCIAL GROUP, INC. [SMMF] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
EVP & COO |
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(Last)
(First)
(Middle)
PO BOX 438 | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY)
12/31/2022 |
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(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 | | | | | | | 13382.8842 (2) | D | |
| Common Stock | | | | | | | 11956.1405 | 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 | | | | | | 4/22/2016 (1) | 4/23/2025 | Common Stock | 17947 | | 17947 | D | |
| Stock-Settled Stock Appreciation Rights | $26.01 | | | | | | 2/9/2018 (1) | 2/9/2027 | Common Stock | 8151 | | 8151 | D | |
| Stock-Settled Stock Appreciation Rights | $23.94 | | | | | | 2/7/2020 (1) | 2/7/2029 | Common Stock | 17052 | | 17052 | D | |
| Stock-Settled Stock Appreciation Rights | $21.85 | | | | | | 7/15/2022 (1) | 7/15/2031 | Common Stock | 17221 | | 17221 | D | |
| Explanation of Responses: |
| (1) | Option and/or SAR vests in 5 equal annual installments with the beginning date indicated. |
| (2) | The reported holdings include stock acquired in dividend reinvestment transactions that are exempt from reporting under Rule 16a-11. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
JENNINGS SCOTT C
PO BOX 438
MOOREFIELD, WV 26836 |
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| EVP & COO |
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Signatures
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| Teresa D. Ely, Lmtd POA, Attorney-in-Fact | | 1/11/2023 |
| **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 control number. |
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