0001181431-14-000876.txt : 20140103 0001181431-14-000876.hdr.sgml : 20140103 20140103170627 ACCESSION NUMBER: 0001181431-14-000876 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140103 DATE AS OF CHANGE: 20140103 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SUMMIT FINANCIAL SERVICES GROUP INC CENTRAL INDEX KEY: 0001261436 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 050577932 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 595 SOUTH FEDERAL HIGHWAY STREET 2: STE 500 CITY: BOCA RATON STATE: FL ZIP: 33432 BUSINESS PHONE: 5613382800 MAIL ADDRESS: STREET 1: 595 SOUTH FEDERAL HIGHWAY STREET 2: STE 500 CITY: BOCA RATON STATE: FL ZIP: 33432 FORMER COMPANY: FORMER CONFORMED NAME: SUMMIT FINANCIAL HOLDING GROUP INC DATE OF NAME CHANGE: 20030826 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Jacobs Steven C CENTRAL INDEX KEY: 0001292866 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 333-108818 FILM NUMBER: 14506763 MAIL ADDRESS: STREET 1: C/O SUMMIT FINANCIAL SERVICES GROUP, INC STREET 2: 980 NORTH FEDERAL HIGHWAY, SUITE 310 CITY: BOCA RATON STATE: FL ZIP: 33432 4 1 rrd399113.xml FORM 4 X0306 4 2013-12-31 0 0001261436 SUMMIT FINANCIAL SERVICES GROUP INC SFNS 0001292866 Jacobs Steven C 595 SOUTH FEDERAL HIGHWAY SUITE 500 BOCA RATON FL 33432 1 1 0 0 Chief Financial Officer Common Stock 2013-12-31 2013-12-31 4 M 0 185484 .32 A 188468 D Common Stock 2013-12-31 2013-12-31 4 M 0 179435 .35 A 367903 D Common Stock 2013-12-31 2013-12-31 4 M 0 28710 .35 A 396613 D Common Stock 2013-12-31 2013-12-31 4 M 0 27097 .40 A 423710 D Stock Option (right to buy) .32 2013-12-31 4 M 0 250000 0 D 2007-12-31 2013-12-31 Common Stock 250000 0 D Stock Option (right to buy) .35 2013-12-31 4 M 0 250000 0 D 2007-12-31 2013-12-31 Common Stock 250000 0 D Stock Option (right to buy) .35 2013-12-31 4 M 0 40000 0 D 2007-12-31 2013-12-31 Common Stock 40000 0 D Stock Option (right to buy) .40 2013-12-31 4 M 0 40000 0 D 2004-12-31 2013-12-31 Common Stock 40000 0 D The Reporting Person utilized a cashless exercise based on the difference between the price of the Company common stock at the time of exercise and the exercise price. /s/ Steven C. Jacobs 2014-01-03