SEC Form 4 · accession 0001273295-17-000004
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 30, 2017
Accepted (ET)
Aug 31, 2017 · 4:45 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 30, 2017 | S | 3,559 | $26.05 | D | 147,176 | D | |
| Common Stock | Aug 30, 2017 | M | 3,559 | $15.89 | A | 150,735 | D | |
| Common Stock | Aug 30, 2017 | S | 3,084 | $26.05 | D | 147,176 | D | |
| Common Stock | Aug 30, 2017 | M | 3,084 | $15.57 | A | 150,260 | 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 | $15.89 | Aug 30, 2017 | M | 3,559 | D | Mar 17, 2017 | Mar 17, 2025 | Common Stock | 3,559 | 0 | D |
| Employee Stock OptionF2 | $15.57 | Aug 30, 2017 | M | 3,084 | D | Mar 15, 2017 | Mar 15, 2026 | Common Stock | 3,084 | 0 | D |
Explanation of responses
- F1The option was granted 03/17/2015 and vested in two equal installments beginning on the first anniversary of the date of the grant.
- F2The option was granted 03/15/2016 and vested in one equal installment beginning on the first anniversary of the date of the grant.