SEC Form 4 · accession 0001234902-17-000001
HORIZON BANCORP INC /IN/ · HBNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Craig M Dwight
Officer — Chief Executive Officer
Period of report
Nov 2, 2017
Accepted (ET)
Nov 3, 2017 · 6:52 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 Stock | Nov 2, 2017 | S | 11,779 | $27.42 | D | 150,625 | D | |
| Common Stock | Nov 2, 2017 | M | 11,779 | $13.49 | A | 162,404 | D | |
| Common Stock | Nov 2, 2017 | S | 2,850 | $27.42 | D | 150,625 | D | |
| Common Stock | Nov 2, 2017 | M | 2,850 | $14.80 | A | 153,475 | D | |
| Common Stock | Nov 3, 2017 | S | 736 | $27.38 | D | 150,625 | D | |
| Common Stock | Nov 3, 2017 | M | 736 | $14.80 | A | 151,361 | D | |
| Common Stock | holding | — | — | — | 92,241 | I | By ESOP | |
| Common Stock | holding | — | — | — | 25,403 | 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 | $13.49 | Nov 2, 2017 | M | 11,779 | D | Jun 18, 2016 | Jun 18, 2023 | Common Stock | 11,779 | 0 | D |
| Employee Stock OptionF2 | $14.80 | Nov 2, 2017 | M | 2,850 | D | Mar 18, 2017 | Mar 18, 2024 | Common Stock | 2,850 | 0 | D |
| Employee Stock OptionF3 | $14.80 | Nov 3, 2017 | M | 736 | D | Mar 18, 2017 | Mar 18, 2024 | Common Stock | 736 | 0 | D |
Explanation of responses
- F1The option was granted 06/18/2013 and vested in three equal installments beginning on the first anniversary of the date of the grant.
- F2The option was granted 03/18/2014 and vested in three equal installments beginning on the first anniversary of the date of the grant.
- F3The option was granted 03/18/2014 and vested in three equal installments beginning on the first anniversary of the date of the grant.