SEC Form 4 · accession 0000908834-18-000157
HORIZON BANCORP INC /IN/ · HBNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dennis Kuhn
Officer — Executive Vice President
Period of report
Aug 13, 2018
Accepted (ET)
Aug 15, 2018 · 11:59 am EDT
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 StockF1 | Aug 13, 2018 | M | 5,250 | $4.45 | A | 5,841 | D | |
| Common Stock | Aug 13, 2018 | S | 5,250 | $20.70 | D | 591 | D | |
| Common Stock | Aug 14, 2018 | S | 591 | $20.90 | D | 0 | D | |
| Common StockF1 | holding | — | — | — | 3,463 | I | By ESOP | |
| Common StockF1 | holding | — | — | — | 1,347 | I | By Thrift Plan | |
| Common StockF1 | holding | — | — | — | 2,551 | I | By SERP |
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,F2 | $4.45 | Aug 13, 2018 | M | 5,250 | D | May 17, 2011 | May 17, 2020 | Common Stock | 5,250 | 17,250 | D |
Explanation of responses
- F1Adjusted for a 3:2 stock split effective as of 6/15/2018.
- F2The option was granted on 5/17/2010 and vested in five equal annual installments beginning on the first anniversary of the date of grant.