SEC Form 4/A · accession 0001137692-17-000020
HORIZON BANCORP INC /IN/ · HBNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
David G Rose
Officer — Executive Vice President
Period of report
Dec 14, 2016
Accepted (ET)
Mar 22, 2017 · 6:17 pm 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,F2 | Dec 14, 2016 | S | 9,750 | $25.79 | D | 2,658 | D | |
| Common StockF1 | Dec 14, 2016 | M | 9,750 | $6.61 | A | 12,408 | D | |
| Common StockF1 | holding | — | — | — | 42,249 | I | By SERP | |
| Common StockF1 | holding | — | — | — | 115,953 | I | By ESOP | |
| Common StockF1 | holding | — | — | — | 7,405 | I | By Thrift |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock OptionF1,F3 | $6.61 | Dec 14, 2016 | M | 9,750 | D | Sep 14, 2015 | Sep 14, 2020 | Common Stock | 9,750 | 0 | D |
Explanation of responses
- F1Adjusted for a 3:2 stock split effective November 14, 2016.
- F2Amended to delete a holdings line duplicating direct holdings prior to the 12/14/2016 transaction.
- F3The option was granted 09/14/2010 and vested in five equal installments beginning on the first anniversary of the date of the grant.