SEC Form 4 · accession 0001234902-18-000001
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
May 9, 2018
Accepted (ET)
May 11, 2018 · 12:27 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 | May 9, 2018 | M | 1,907 | $15.89 | A | 153,153 | D | |
| Common Stock | May 9, 2018 | S | 1,907 | $29.87 | D | 151,246 | D | |
| Common Stock | May 10, 2018 | M | 2,596 | $15.89 | A | 153,842 | D | |
| Common Stock | May 10, 2018 | S | 2,596 | $29.84 | D | 151,246 | D | |
| Common Stock | May 10, 2018 | M | 6,884 | $15.57 | A | 158,130 | D | |
| Common Stock | May 10, 2018 | S | 6,884 | $29.84 | D | 151,246 | D | |
| Common Stock | holding | — | — | — | 93,193 | I | By ESOP | |
| Common Stock | holding | — | — | — | 26,200 | I | By ThriftPlan |
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 | $15.89 | May 9, 2018 | M | 1,907 | D | Mar 17, 2018 | Mar 17, 2025 | Common Stock | 1,907 | 0 | D |
| Employee Stock OptionF1 | $15.89 | May 10, 2018 | M | 2,596 | D | Mar 17, 2018 | Mar 17, 2025 | Common Stock | 2,596 | 0 | D |
| Employee Stock OptionF2 | $15.57 | May 10, 2018 | M | 6,884 | D | Mar 15, 2019 | Mar 15, 2026 | Common Stock | 6,884 | 0 | D |
Explanation of responses
- F1The option was granted on 03/17/2015 and vested in three equal installments beginning on the first anniversary of the date of grant.
- F2The option was granted on 03/15/2016 and vested in three equal installments beginning on the first anniversary of the date of grant.