SEC Form 4 · accession 0001273295-19-000001

· HBNC

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — President

Period of report

Mar 4, 2019

Accepted (ET)

Mar 6, 2019 · 11:01 am EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000706129

Table I — non-derivative securities

Security	Date	Code	Shares	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	holding	—	—	—	248,521	D
Common Stock	holding	—	—	—	45,057	I	By SERP
Common Stock^F1,F2	holding	—	—	—	10,455	I	By ESOP
Common Stock^F1,F2	holding	—	—	—	15,288	I	By ThriftPlan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Deferred Stock Units^F3	—	Mar 4, 2019	A	34,090	A	—	—	Common Stock	34,090	34,090	I

F1During 2018, Mr. Neff completed in-service withdrawals totaling 24,150 common shares from the Horizon ESOP (9,834 common shares) and the Horizon Thrift Plan (14,316 common shares) and moved those shares to a self-directed IRA. As a result, the beneficial ownership of those shares did not change (other than changing from indirect beneficial ownership to direct beneficial ownership), and the above common share totals now reflect the transfer of those shares.
F2Adjusted to reflect additional shares allocated to the reporting person's benefit plan account after the date of the reporting person's last ownership report.
F3Each Deferred Stock Unit ("DSU") is the economic equivalent of one share of common stock. The DSU's become payable, in cash or common stock or a combination of the two, at the discretion of Horizon upon the conditions described in the Horizon Bancorp Supplemental Executive Retirement Plan (Frozen) and the Horizon Bancorp 2005 Supplemental Executive Retirement Plan.