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HBNC Horizon Bancorp Inc

12.41
0.00 (0.00%)
Pre Market
Last Updated: 10:00:08
Delayed by 15 minutes
Share Name Share Symbol Market Type
Horizon Bancorp Inc NASDAQ:HBNC NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 12.41 4.97 13.50 0 10:00:08

Statement of Changes in Beneficial Ownership (4)

27/11/2017 9:20pm

Edgar (US Regulatory)


FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

SECOR MARK E
2. Issuer Name and Ticker or Trading Symbol

HORIZON BANCORP /IN/ [ HBNC ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
Exec VP & CFO
(Last)          (First)          (Middle)

515 FRANKLIN SQUARE
3. Date of Earliest Transaction (MM/DD/YYYY)

11/22/2017
(Street)

MICHIGAN CITY, IN 46360
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   11/22/2017     M    7035   A $13.49   10183   D  
 
Common Stock   11/22/2017     S    7035   D $27.30   3148   D  
 
Common Stock   11/22/2017     M    68   A $14.80   3216   D  
 
Common Stock   11/22/2017     S    68   D $27.30   3148   D  
 
Common Stock   11/24/2017     M    1700   A $14.80   4848   D  
 
Common Stock   11/24/2017     S    1700   D $27.17   3148   D  
 
Common Stock                  12955   I   By SERP  
Common Stock                  4861   I   By ESOP  
Common Stock                  8440   I   By Thrift Plan  

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (right to buy)   $13.49   11/22/2017     M         7035      (1) 6/18/2023   Common Stock   7035   $0   0   D  
 
Employee Stock Option (right to buy)   $14.80   11/22/2017     M         68      (2) 3/18/2024   Common Stock   68   $0   6134   D  
 
Employee Stock Option (right to buy)   $14.80   11/24/2017     M         1700      (3) 3/18/2024   Common Stock   1700   $0   4434   D  
 

Explanation of Responses:
(1)  The options vested in three equal annual installments beginning on the first anniversary of the 6/18/2013 date of grant.
(2)  The options vested in three equal annual installments beginning on the first anniversary of the 3/18/2014 date of grant.
(3)  The options vested in three equal annual installments beginning on the first anniversary of the 3/18/2014 date of grant.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
SECOR MARK E
515 FRANKLIN SQUARE
MICHIGAN CITY, IN 46360


Exec VP & CFO

Signatures
/s/ Mark E. Secor 11/27/2017
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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