Initial Statement of Beneficial Ownership (3)
October 05 2017 - 5:33PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Kuhn Dennis
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2. Date of Event Requiring Statement (MM/DD/YYYY)
10/3/2017
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3. Issuer Name
and
Ticker or Trading Symbol
HORIZON BANCORP /IN/ [HBNC]
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(Last)
(First)
(Middle)
5795 WACKER DRIVE
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Executive Vice President /
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(Street)
STEVENSVILLE, MI 49127
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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2086
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I
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By ESOP
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Common Stock
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476
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I
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By Thrift
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Common Stock
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1352
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I
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By SERP
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Option
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5/7/2011
(1)
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5/7/2020
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Common Stock
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22500
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$6.67
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D
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Employee Stock Option
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6/18/2014
(2)
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6/18/2023
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Common Stock
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3636
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$13.49
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D
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Employee Stock Option
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3/18/2015
(3)
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3/18/2024
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Common Stock
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3205
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$14.8
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D
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Employee Stock Option
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3/17/2016
(4)
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3/17/2025
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Common Stock
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3733
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$15.89
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D
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Employee Stock Option
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3/15/2017
(5)
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3/15/2026
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Common Stock
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6786
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$15.57
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D
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Employee Stock Option
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3/21/2018
(6)
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3/21/2027
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Common Stock
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1493
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$25.14
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D
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Explanation of Responses:
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(1)
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The option was granted on 5/07/2010 and vested in five equal installments beginning on the first anniversary on date of grant.
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(2)
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The option was granted on 6/18/2013 and vested in three equal installments beginning on the first anniversary on date of grant.
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(3)
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The option was granted on 3/18/2014 and vested in three equal installments beginning on the first anniversary of date of grant.
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(4)
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The option was granted on 3/17/2015 and vested in three equal installments beginning on the first anniversary on date of grant.
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(5)
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The option was granted on 3/15/2016 and vested in three equal installments beginning on the first anniversary on date of grant.
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(6)
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The option was granted on 3/21/2017 and vested in three equal installments beginning on the first anniversary on date of grant.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Kuhn Dennis
5795 WACKER DRIVE
STEVENSVILLE, MI 49127
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Executive Vice President
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Signatures
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/s/Mark E. Secor, Attorney-in-Fact for Dennis J. Kuhn
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10/5/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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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