0001145443-15-000210.txt : 20150212 0001145443-15-000210.hdr.sgml : 20150212 20150212163157 ACCESSION NUMBER: 0001145443-15-000210 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150212 DATE AS OF CHANGE: 20150212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HORIZON BANCORP /IN/ CENTRAL INDEX KEY: 0000706129 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 351562417 STATE OF INCORPORATION: IN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-33947 FILM NUMBER: 15606750 BUSINESS ADDRESS: STREET 1: 515 FRANKLIN SQUARE CITY: MICHIGAN CITY STATE: IN ZIP: 46360 BUSINESS PHONE: 2198790211 MAIL ADDRESS: STREET 1: 515 FRANKLIN SQUARE CITY: MICHIGAN CITY STATE: IN ZIP: 46360 FORMER COMPANY: FORMER CONFORMED NAME: CITIZENS MICHIANA FINANCIAL CORP DATE OF NAME CHANGE: 19861021 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MANULIFE FINANCIAL CORP CENTRAL INDEX KEY: 0001086888 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] IRS NUMBER: 000000000 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 200 BLOOR ST EAST CITY: TORONTO STATE: A6 ZIP: M4W1E5 BUSINESS PHONE: 416-926-3000 MAIL ADDRESS: STREET 1: 200 BLOOR ST EAST CITY: TORONTO STATE: A6 ZIP: M4W1E5 SC 13G/A 1 manulife_sc13ga.htm AMENDMENT TO SCHEDULE FILED TO REPORT ACQUISITION OF BENEFICIAL OWNERSHIP

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934
(Amendment No. 3)*

Horizon Bancorp
(Name of Issuer)
 
Common Stock
(Title of Class of Securities)
 
440407104
(CUSIP Number)
 
December 31, 2014
(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

        X   Rule 13d-1(b)
     
  Rule 13d-1(c)
     
  Rule 13d-1(d)

*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

PAGE 1 OF 8 PAGES



  CUSIP No.      440407104  

1

NAME OF REPORTING PERSON

Manulife Financial Corporation

                
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)
(b)
            
N/A
 
3 SEC USE ONLY
 
 
4

CITIZENSHIP OR PLACE OF ORGANIZATION

Canada

  
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
5 SOLE VOTING POWER
                
-0-
 
6 SHARED VOTING POWER
  
-0-
 
7 SOLE DISPOSITIVE POWER
 
-0-
 
8 SHARED DISPOSITIVE POWER
 
-0-
 
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
  
None, except through its indirect, wholly-owned subsidiaries, Manulife Asset Management (North America) Limited and Manulife Asset Management (US) LLC
10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
 
N/A
 
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
 
See line 9 above.
 
12 TYPE OF REPORTING PERSON*
 
HC
 
*SEE INSTRUCTIONS
 
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  CUSIP No.      440407104  

1

NAME OF REPORTING PERSON

Manulife Asset Management (North America) Limited

                
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)
(b)
            
N/A
 
3 SEC USE ONLY
 
 
4

CITIZENSHIP OR PLACE OF ORGANIZATION

Canada

  
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
5 SOLE VOTING POWER
                
2,310
 
6 SHARED VOTING POWER
  
-0-
 
7 SOLE DISPOSITIVE POWER
 
2,310
 
8 SHARED DISPOSITIVE POWER
 
-0-
 
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
  
2,310
 
10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
 
N/A
 
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
 
0.03%
 
12 TYPE OF REPORTING PERSON*
 
IA
 
*SEE INSTRUCTIONS
 
PAGE 3 OF 8 PAGES



  CUSIP No.      440407104  

1

NAME OF REPORTING PERSON

Manulife Asset Management (US) LLC

                
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)
(b)
            
N/A
 
3 SEC USE ONLY
 
 
4

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

  
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
5 SOLE VOTING POWER
                

501,700 (including 480,338 shares issuable upon exercise of warrants)

 
6 SHARED VOTING POWER
  
-0-
 
7 SOLE DISPOSITIVE POWER
 
501,700 (including 480,338 shares issuable upon exercise of warrants)
 
8 SHARED DISPOSITIVE POWER
 
-0-
 
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
  
501,700 (including 480,338 shares issuable upon exercise of warrants) 
 
10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
 
N/A
 
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
 
5.17% (including 480,338 shares issuable upon exercise of warrants)
 
12 TYPE OF REPORTING PERSON*
 
IA
 
*SEE INSTRUCTIONS
 
PAGE 4 OF 8 PAGES



Item 1(a) Name of Issuer:
      Horizon Bancorp
 
Item 1(b) Address of Issuer's Principal Executive Offices:
515 Franklin Square
Michigan City, Indiana 46360
  
Item 2(a) Name of Person Filing:
This filing is made on behalf of Manulife Financial Corporation ("MFC") and MFC’s indirect, wholly-owned subsidiaries, Manulife Asset Management (North America) Limited ("MAM (NA)") and Manulife Asset Management (US) LLC ("MAM (US)").
 
Item 2(b) Address of Principal Business Office:
The principal business offices of MFC and MAM (NA) are located at 200 Bloor Street East, Toronto, Ontario, Canada, M4W 1E5.
The principal business office of MAM (US) is located at 197 Clarendon Street, Boston, Massachusetts 02116.
 
Item 2(c) Citizenship:
MFC and MAM (NA) are organized and exist under the laws of Canada.
MAM (US) is organized and exists under the laws of the State of Delaware.
 
Item 2(d) Title of Class of Securities:
Common Stock
 
Item 2(e) CUSIP Number:
440407104
 
Item 3 If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
 
  MFC: (g) (X) a parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G).
     
MAM (NA):                  (e) (X)      an investment adviser in accordance with §240.13d-1(b)(1)(ii)(E).
 
MAM (US): (e) (X) an investment adviser in accordance with §240.13d-1(b)(1)(ii)(E).
 
Item 4 Ownership:
 
(a) Amount Beneficially Owned: MAM (NA) has beneficial ownership of 2,310 shares of Common Stock. MAM (US) has beneficial ownership of 501,700 (including 480,338 shares issuable upon exercise of warrants). Through its parent-subsidiary relationship to MAM (NA) and MAM (US), MFC may be deemed to have beneficial ownership of these same shares.
 
(b) Percent of Class: Of the 9,210,786 shares of Common Stock outstanding as of November 7, 2014 according to the Form 10-Q filed by the issuer with the Securities and Exchange Commission on November 7, 2014, MAM (NA) held 0.03% and MAM (US) held 5.17% (including 480,338 shares issuable upon exercise of warrants).
 
(c) Number of shares as to which the person has:

                      (i)       sole power to vote or to direct the vote:
MAM (NA) and MAM (US) each has sole power to vote or to direct the voting of the shares of Common Stock beneficially owned by each of them.
 
(ii) shared power to vote or to direct the vote: -0-
 
(iii) sole power to dispose or to direct the disposition of:
MAM (NA) and MAM (US) each has sole power to dispose or to direct the disposition of the shares of Common Stock beneficially owned by each of them.
 
(iv) shared power to dispose or to direct the disposition of: -0-

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Item 5       Ownership of Five Percent or Less of a Class:
Not applicable.
 
Item 6 Ownership of More than Five Percent on Behalf of Another Person:
Not applicable.
 
Item 7 Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company or Control Person:
  See Items 3 and 4 above.
 
Item 8 Identification and Classification of Members of the Group:
Not applicable.
 
Item 9 Notice of Dissolution of Group:
Not applicable.
 
Item 10 Certification:
By signing below the undersigned certifies that, to the best of its knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

PAGE 6 OF 8 PAGES



SIGNATURE

After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.

Manulife Financial Corporation
 
By: /s/ Graham A. Miller
Name: Graham A. Miller
Dated: February 11, 2015 Title: Agent*
 
Manulife Asset Management (North America) Limited
 
  By: /s/ Warren Rudick
  Name:       Warren Rudick
Dated: February 11, 2015 Title: Associate General Counsel and Assistant Secretary
 
Manulife Asset Management (US) LLC
 
By: /s/ William E. Corson
Name: William E. Corson
Dated: February 11, 2015 Title: Vice President and Chief Compliance Officer

* Signed pursuant to a Power of Attorney dated June 10, 2014 included as Exhibit A to Schedule 13F-NT filed with the Securities and Exchange Commission by Manulife Financial Corporation on August 27, 2014.

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EXHIBIT A

JOINT FILING AGREEMENT

Manulife Financial Corporation, Manulife Asset Management (North America) Limited and Manulife Asset Management (US) LLC agree that the Schedule 13G (Amendment No. 3) to which this Agreement is attached, relating to the Common Stock of Horizon Bancorp, is filed on behalf of each of them.

Manulife Financial Corporation
 
By: /s/ Graham A. Miller
Name:        Graham A. Miller
Dated: February 11, 2015 Title: Agent*
 
Manulife Asset Management (North America) Limited
 
By: /s/ Warren Rudick
  Name: Warren Rudick
Dated: February 11, 2015 Title: Associate General Counsel and Assistant Secretary
 
Manulife Asset Management (US) LLC
 
By: /s/ William E. Corson
Name: William E. Corson
Dated: February 11, 2015 Title: Vice President and Chief Compliance Officer

* Signed pursuant to a Power of Attorney dated June 10, 2014 included as Exhibit A to Schedule 13F-NT filed with the Securities and Exchange Commission by Manulife Financial Corporation on August 27, 2014.

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