0001273295-19-000001.txt : 20190306 0001273295-19-000001.hdr.sgml : 20190306 20190306110122 ACCESSION NUMBER: 0001273295-19-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190304 FILED AS OF DATE: 20190306 DATE AS OF CHANGE: 20190306 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEFF JAMES D CENTRAL INDEX KEY: 0001273295 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-10792 FILM NUMBER: 19661620 MAIL ADDRESS: STREET 1: 515 FRANKLIN SQUARE CITY: MICHIGAN CITY STATE: IN ZIP: 46360 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HORIZON BANCORP INC /IN/ CENTRAL INDEX KEY: 0000706129 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 351562417 STATE OF INCORPORATION: IN FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 515 FRANKLIN STREET CITY: MICHIGAN CITY STATE: IN ZIP: 46360 BUSINESS PHONE: 2198790211 MAIL ADDRESS: STREET 1: 515 FRANKLIN STREET CITY: MICHIGAN CITY STATE: IN ZIP: 46360 FORMER COMPANY: FORMER CONFORMED NAME: HORIZON BANCORP /IN/ DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: CITIZENS MICHIANA FINANCIAL CORP DATE OF NAME CHANGE: 19861021 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2019-03-04 0 0000706129 HORIZON BANCORP INC /IN/ HBNC 0001273295 NEFF JAMES D 515 FRANKLIN SQUARE MICHIGAN CITY IN 46360 0 1 0 0 President Common Stock 248521 D Common Stock 45057 I By SERP Common Stock 10455 I By ESOP Common Stock 15288 I By ThriftPlan Deferred Stock Units 2019-03-04 4 A 0 34090 17.6 A Common Stock 34090 34090 I By SERP During 2018, Mr. Neff completed in-service withdrawals totaling 24,150 common shares from the Horizon ESOP (9,834 common shares) and the Horizon Thrift Plan (14,316 common shares) and moved those shares to a self-directed IRA. As a result, the beneficial ownership of those shares did not change (other than changing from indirect beneficial ownership to direct beneficial ownership), and the above common share totals now reflect the transfer of those shares. Adjusted to reflect additional shares allocated to the reporting person's benefit plan account after the date of the reporting person's last ownership report. Each Deferred Stock Unit ("DSU") is the economic equivalent of one share of common stock. The DSU's become payable, in cash or common stock or a combination of the two, at the discretion of Horizon upon the conditions described in the Horizon Bancorp Supplemental Executive Retirement Plan (Frozen) and the Horizon Bancorp 2005 Supplemental Executive Retirement Plan. /s/Mark E. Secor, as Attorney-in-Fact for James D. Neff 2019-03-06