SEC Form 4 · accession 0001273295-17-000003
HORIZON BANCORP INC /IN/ · HBNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James D Neff
Officer — Executive Vice President
Period of report
Aug 29, 2017
Accepted (ET)
Aug 31, 2017 · 4:22 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 | Aug 29, 2017 | S | 1,645 | $26.05 | D | 147,176 | D | |
| Common Stock | Aug 29, 2017 | M | 1,645 | $13.49 | A | 148,821 | D | |
| Common Stock | Aug 29, 2017 | S | 7,267 | $26.05 | D | 147,176 | D | |
| Common Stock | Aug 29, 2017 | M | 7,267 | $14.80 | A | 154,443 | D | |
| Common Stock | Aug 29, 2017 | S | 2,100 | $26.05 | D | 147,176 | D | |
| Common Stock | Aug 29, 2017 | M | 2,100 | $15.89 | A | 149,276 | D | |
| Common Stock | holding | — | — | — | 30,038 | I | By SERP | |
| Common Stock | holding | — | — | — | 12,924 | I | By ESOP | |
| Common Stock | holding | — | — | — | 18,417 | 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 | Aug 29, 2017 | M | 1,645 | D | Jun 18, 2016 | Jun 18, 2023 | Common Stock | 1,645 | 0 | D |
| Employee Stock OptionF2 | $14.80 | Aug 29, 2017 | M | 7,267 | D | Mar 18, 2017 | Mar 18, 2024 | Common Stock | 7,267 | 0 | D |
| Employee Stock OptionF3 | $15.89 | Aug 29, 2017 | M | 2,100 | D | Mar 17, 2017 | Mar 17, 2025 | Common Stock | 2,100 | 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 03/17/2015 and vested in two equal installments beginning on the first anniversary of the date of the grant.