SEC Form 4 · accession 0001595078-15-000006
HORIZON BANCORP INC /IN/ · HBNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David G Rose
Officer — Executive Vice President
Period of report
Oct 29, 2015
Accepted (ET)
Oct 30, 2015 · 5:10 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 | Oct 29, 2015 | A | 2,000 | $9.91 | A | 4,365 | D | |
| Common Stock | Oct 29, 2015 | S | 2,000 | $27.09 | D | 2,365 | D | |
| Common Stock | Oct 30, 2015 | A | 1,500 | $9.91 | A | 3,865 | D | |
| Common Stock | Oct 30, 2015 | S | 1,500 | $26.13 | D | 2,365 | D | |
| Common Stock | holding | — | — | — | 80,624 | I | By ESOP | |
| Common Stock | holding | — | — | — | 28,166 | I | By SERP |
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 | $9.91 | Oct 29, 2015 | M | 2,000 | D | Sep 14, 2010 | Sep 14, 2015 | Common Stock | 2,000 | 0 | D |
| Employee Stock OptionF1 | $9.91 | Oct 30, 2015 | M | 1,500 | D | Sep 14, 2010 | Sep 14, 2015 | Common Stock | 1,500 | 0 | D |
Explanation of responses
- F1The option was granted 09/14/2010 and vested in five equal installments beginning on the first anniversary of the date of grant.