SEC Form 4 · accession 0001595078-16-000008
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
Dec 14, 2016
Accepted (ET)
Dec 14, 2016 · 5:23 pm EST
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 | Dec 14, 2016 | S | 9,750 | $25.79 | D | 2,658 | D | |
| Common Stock | Dec 14, 2016 | M | 9,750 | $6.61 | A | 12,408 | D | |
| Common StockF1 | holding | — | — | — | 2,658 | D | ||
| Common StockF2 | holding | — | — | — | 42,249 | I | By SERP | |
| Common StockF3 | holding | — | — | — | 123,358 | I | By Benefit Plans (ESOP & 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 OptionF4 | $6.61 | Dec 14, 2016 | M | 9,750 | D | Jun 18, 2012 | Jun 18, 2017 | Common Stock | 9,750 | 0 | D |
Explanation of responses
- F1Adjusted for 886 shares received from 3:2 stock split of 10/31/2016
- F2Adjusted for 14,083 shares received from 3:2 stock split of 10/31/2016
- F3Adjusted for 41,119 shares received from 3:2 stock split of 10/31/2016
- F4The option was granted 06/18/2012 and vested in five equal installments beginning on the first anniversary of the date of the grant.