SEC Form 4 · accession 0000908834-17-000267
HORIZON BANCORP INC /IN/ · HBNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark E Secor
Officer — Exec VP & CFO
Period of report
Nov 27, 2017
Accepted (ET)
Nov 29, 2017 · 12:48 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000706129
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 27, 2017 | M | 1,500 | $14.80 | A | 4,648 | D | |
| Common Stock | Nov 27, 2017 | S | 1,500 | $27.01 | D | 3,148 | D | |
| Common Stock | Nov 28, 2017 | M | 2,934 | $14.80 | A | 6,082 | D | |
| Common Stock | Nov 28, 2017 | S | 2,934 | $27.12 | D | 3,148 | D | |
| Common Stock | Nov 28, 2017 | M | 4,984 | $15.89 | A | 8,132 | D | |
| Common Stock | Nov 28, 2017 | S | 4,984 | $27.12 | D | 3,148 | D | |
| Common Stock | Nov 28, 2017 | M | 2,717 | $15.57 | A | 5,865 | D | |
| Common Stock | Nov 28, 2017 | S | 2,717 | $27.12 | D | 3,148 | D | |
| Common Stock | holding | — | — | — | 12,955 | I | By SERP | |
| Common Stock | holding | — | — | — | 4,861 | I | By ESOP | |
| Common Stock | holding | — | — | — | 8,440 | I | By Thrift Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F1 | $14.80 | Nov 27, 2017 | M | 1,500 | D | — | Mar 18, 2024 | Common Stock | 1,500 | 2,934 | D |
| Employee Stock Option (right to buy)F2 | $14.80 | Nov 28, 2017 | M | 2,934 | D | — | Mar 18, 2024 | Common Stock | 2,934 | 0 | D |
| Employee Stock Option (right to buy)F3 | $15.89 | Nov 28, 2017 | M | 4,984 | D | — | Mar 17, 2025 | Common Stock | 4,984 | 2,492 | D |
| Employee Stock Option (right to buy)F4 | $15.57 | Nov 28, 2017 | M | 2,717 | D | — | Mar 15, 2026 | Common Stock | 2,717 | 5,434 | D |
Explanation of responses
- F1The options vested in three equal annual installments beginning on the first anniversary of the 3/18/2014 date of grant.
- F2The options vested in three equal annual installments beginning on the first anniversary of the 3/18/2014 date of grant.
- F3The options vest in three equal annual installments beginning on the first anniversary of the 3/17/2015 date of grant.
- F4The options vest in three equal annual installments beginning on the first anniversary of the 3/15/2016 date of grant.