SEC Form 4 · accession 0001595334-19-000001
HORIZON BANCORP INC /IN/ · HBNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kathie A DeRuiter
Officer — Executive Vice President
Period of report
Feb 27, 2019
Accepted (ET)
Feb 28, 2019 · 5:15 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 StockF1,F2 | holding | — | — | — | 14,905 | I | By SERP | |
| Common StockF1,F2 | holding | — | — | — | 29,382 | I | By ESOP | |
| Common StockF1,F2 | holding | — | — | — | 19,994 | I | By ThriftPlan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock UnitsF3 | — | Feb 27, 2019 | A | 13,961 | A | — | — | Common Stock | 13,961 | 13,961 | I |
Explanation of responses
- F1Adjusted for a 3:2 stock split effective as of 06/15/2018.
- 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 DSUs become payable, in cash or common stock or a combination of the two, at the discretion of the Issuer upon the conditions described in the Issuer's Supplemental Executive Retirement Plan.