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Nasdaq · USD

HBNC

HORIZON BANCORP INC /IN/

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4968
SEC CIK
0000706129
Parsed reports
364

Last 12 months

Inside the activity.

2 purchase rows · 1 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202510
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202610
May 202600
Jun 202600
Jul 202601
Aug 202600
Sep 202600
Oct 202600

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Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
March 08, 2021 Filed Mar 9, 2021 18:35 UTC
Kuhn DennisExecutive Vice President
Exercise / conversionCommon Stock 10,261 $19.43 $199,364.05
Disclosure

SEC source: 0001445263-21-000001 · primary_doc.xml · nonDerivative · entry 1

Kuhn Dennis · CIK 0001445263 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,326

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 08, 2021 Filed Mar 9, 2021 17:56 UTC
NEFF JAMES DPresident
SaleCommon Stock 15,300 $19.46 $297,738.00
Disclosure

SEC source: 0000706129-21-000017 · primary_doc.xml · nonDerivative · entry 2

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,164

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 6, 2020.

F3 · shares: This transaction was executed in multiple trades at prices ranging from $19.2500 to $19.8075. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to SEC staff, the issuer of security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
March 05, 2021 Filed Mar 9, 2021 17:56 UTC
NEFF JAMES DPresident
SaleCommon Stock 10,400 $19.02 $197,808.00
Disclosure

SEC source: 0000706129-21-000017 · primary_doc.xml · nonDerivative · entry 1

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,464

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 6, 2020.

F2 · shares: This transaction was executed in multiple trades at prices ranging from $19.0000 to $19.2650. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to SEC staff, the issuer of security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
March 03, 2021 Filed Mar 5, 2021 22:23 UTC GrantDeferred Stock Units · Derivative 1,609 $18.59 $29,911.31
Disclosure

SEC source: 0000706129-21-000016 · primary_doc.xml · derivative · entry 3

Burnell Lawrence E · CIK 0001414333 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,897

Underlying: Common Stock · 1,609 shares

Expires not disclosed

F2 · derivative.exercise_price: Each 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 Directors Preferred Compensation Plan.

F2 · derivative.exercise_date: Each 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 Directors Preferred Compensation Plan.

F2 · derivative.expiration_date: Each 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 Directors Preferred Compensation Plan.

Read SEC document
March 03, 2021 Filed Mar 5, 2021 22:12 UTC GrantCommon Stock 1,609 $18.59 $29,911.31
Disclosure

SEC source: 0000706129-21-000015 · primary_doc.xml · nonDerivative · entry 1

VALAVANIS SPERO W · CIK 0001137694 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,350

F1 · balance_after: Adjusted to include shares purchased pursuant to a dividend reinvestment program since the date of the reporting person's last ownership report.

Read SEC document
March 03, 2021 Filed Mar 5, 2021 21:58 UTC GrantDeferred Stock Units · Derivative 1,609 $18.59 $29,911.31
Disclosure

SEC source: 0000706129-21-000013 · primary_doc.xml · derivative · entry 1

Reed Steven William · CIK 0001609009 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,825

Underlying: Common Stock · 1,609 shares

Expires not disclosed

F1 · derivative.exercise_price: Each 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 Directors Preferred Compensation Plan.

F1 · derivative.exercise_date: Each 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 Directors Preferred Compensation Plan.

F1 · derivative.expiration_date: Each 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 Directors Preferred Compensation Plan.

Read SEC document
March 03, 2021 Filed Mar 5, 2021 21:45 UTC GrantDeferred Stock Units · Derivative 1,609 $18.59 $29,911.31
Disclosure

SEC source: 0000706129-21-000012 · primary_doc.xml · derivative · entry 1

AARON SUSAN D · CIK 0001137692 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,020

Underlying: Common Stock · 1,609 shares

Expires not disclosed

F1 · derivative.exercise_price: Each 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 Directors Preferred Compensation Plan.

F1 · derivative.exercise_date: Each 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 Directors Preferred Compensation Plan.

F1 · derivative.expiration_date: Each 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 Directors Preferred Compensation Plan.

Read SEC document
March 03, 2021 Filed Mar 5, 2021 20:18 UTC GrantCommon Stock 1,609 $18.59 $29,911.31
Disclosure

SEC source: 0000706129-21-000011 · primary_doc.xml · nonDerivative · entry 1

PAIRITZ PETER L · CIK 0001137688 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,764

Read SEC document
March 03, 2021 Filed Mar 5, 2021 20:13 UTC GrantCommon Stock 1,609 $18.59 $29,911.31
Disclosure

SEC source: 0001413023-21-000001 · primary_doc.xml · nonDerivative · entry 1

Magnuson Michele M. · CIK 0001413023 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 41,323

Read SEC document
March 03, 2021 Filed Mar 5, 2021 20:03 UTC GrantCommon Stock 1,609 $18.59 $29,911.31
Disclosure

SEC source: 0001641326-21-000001 · primary_doc.xml · nonDerivative · entry 1

Freigang Julie Scheck · CIK 0001641326 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,921

F1 · balance_after: Adjusted to include shares purchased pursuant to a dividend reinvestment program since the date of the reporting person's last ownership report.

Read SEC document
March 03, 2021 Filed Mar 5, 2021 19:47 UTC GrantCommon Stock 1,609 $18.59 $29,911.31
Disclosure

SEC source: 0000706129-21-000010 · primary_doc.xml · nonDerivative · entry 1

DWORKIN JAMES B · CIK 0001234905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,364

F1 · balance_after: Adjusted to include shares purchased pursuant to a dividend reinvestment program since the date of the reporting person's last ownership report.

Read SEC document
March 03, 2021 Filed Mar 5, 2021 16:48 UTC GrantCommon Stock 1,609 $18.59 $29,911.31
Disclosure

SEC source: 0000706129-21-000008 · primary_doc.xml · nonDerivative · entry 1

Hopp Daniel F · CIK 0001273556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,675

Read SEC document
March 03, 2021 Filed Mar 5, 2021 18:23 UTC GrantCommon Stock 1,609 $18.59 $29,911.31
Disclosure

SEC source: 0000706129-21-000009 · primary_doc.xml · nonDerivative · entry 1

Blackhurst Eric P. · CIK 0001508043 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,024

Read SEC document
March 01, 2021 Filed Mar 2, 2021 22:42 UTC
SECOR MARK EExecutive Vice President
Exercise / conversionStock Options · Derivative 0 $0.00 Strike: $10.38 $0.00
Disclosure

SEC source: 0000706129-21-000007 · primary_doc.xml · derivative · entry 5

SECOR MARK E · CIK 0001276902 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,389 shares

Expires 2026-03-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The option was granted on 03/15/2016 and vested in three equal annual installments beginning on the first anniversary of the date of grant.

F2 · derivative.expiration_date: The option was granted on 03/15/2016 and vested in three equal annual installments beginning on the first anniversary of the date of grant.

Read SEC document
March 01, 2021 Filed Mar 2, 2021 22:42 UTC
SECOR MARK EExecutive Vice President
SaleCommon Stock 6,389 $18.38 $117,429.82
Disclosure

SEC source: 0000706129-21-000007 · primary_doc.xml · nonDerivative · entry 2

SECOR MARK E · CIK 0001276902 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,486

Read SEC document
March 01, 2021 Filed Mar 2, 2021 22:42 UTC
SECOR MARK EExecutive Vice President
Exercise / conversionCommon Stock 6,389 $18.38 $117,429.82
Disclosure

SEC source: 0000706129-21-000007 · primary_doc.xml · nonDerivative · entry 1

SECOR MARK E · CIK 0001276902 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,875

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 01, 2021 Filed Mar 18, 2021 21:01 UTC Amendment
SECOR MARK EExecutive Vice President
SaleCommon Stock 6,389 $18.38 $117,429.82
Disclosure

SEC source: 0000706129-21-000025 · wf-form4a_161610124335602.xml · nonDerivative · entry 2

SECOR MARK E · CIK 0001276902 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,486

Read SEC document
March 01, 2021 Filed Mar 18, 2021 21:01 UTC Amendment
SECOR MARK EExecutive Vice President
Exercise / conversionCommon Stock 6,389 $18.38 $117,429.82
Disclosure

SEC source: 0000706129-21-000025 · wf-form4a_161610124335602.xml · nonDerivative · entry 1

SECOR MARK E · CIK 0001276902 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,875

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 23, 2021 Filed Feb 24, 2021 20:58 UTC
DWIGHT CRAIG MChief Executive Officer
Exercise / conversionStock Options · Derivative 0 $0.00 Strike: $10.38 $0.00
Disclosure

SEC source: 0001234902-21-000001 · primary_doc.xml · derivative · entry 5

DWIGHT CRAIG M · CIK 0001234902 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,291 shares

Expires 2026-03-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The option was granted on 03/15/2019 and vested in three equal annual installments beginning on the first anniversary of the date of grant.

Read SEC document
February 23, 2021 Filed Feb 24, 2021 20:58 UTC
DWIGHT CRAIG MChief Executive Officer
SaleCommon Stock 10,291 $18.50 $190,383.50
Disclosure

SEC source: 0001234902-21-000001 · primary_doc.xml · nonDerivative · entry 2

DWIGHT CRAIG M · CIK 0001234902 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,612

Read SEC document
February 23, 2021 Filed Feb 24, 2021 20:58 UTC
DWIGHT CRAIG MChief Executive Officer
Exercise / conversionCommon Stock 10,291 $18.50 $190,383.50
Disclosure

SEC source: 0001234902-21-000001 · primary_doc.xml · nonDerivative · entry 1

DWIGHT CRAIG M · CIK 0001234902 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,903

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 16, 2020 Filed Nov 17, 2020 18:03 UTC SaleCommon Stock 5,605 $14.79 $82,886.18
Disclosure

SEC source: 0001413023-20-000003 · primary_doc.xml · nonDerivative · entry 1

Magnuson Michele M. · CIK 0001413023 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 39,714

Read SEC document
November 10, 2020 Filed Nov 12, 2020 20:04 UTC
Kuhn DennisExecutive Vice President
SaleCommon Stock 8,625 $14.20 $122,453.44
Disclosure

SEC source: 0001445263-20-000005 · primary_doc.xml · nonDerivative · entry 1

Kuhn Dennis · CIK 0001445263 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,065

F1 · shares: This transaction was executed in multiple trades at prices ranging from $14.1891 to $14.2680. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to SEC staff, the issuer or security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
October 05, 2020 Filed Oct 5, 2020 21:23 UTC
DWIGHT CRAIG MChief Executive Officer
OtherCommon Stock 885 $0.00 $0.00
Disclosure

SEC source: 0001234902-20-000003 · primary_doc.xml · nonDerivative · entry 1

DWIGHT CRAIG M · CIK 0001234902 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,612

Read SEC document
May 29, 2020 Filed Jun 1, 2020 19:44 UTC
SECOR MARK EExecutive Vice President
GrantDeferred Stock Units · Derivative 17,056 $10.26 $174,994.56
Disclosure

SEC source: 0001276902-20-000003 · primary_doc.xml · derivative · entry 5

SECOR MARK E · CIK 0001276902 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,283

Underlying: Common Stock · 17,056 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit ("DSU") is the economic equivalent of one share of common stock. The DSUs become payable, in cash or common stock, or combination of the two, at the discretion of Horizon upon the conditions described in the Horizon Bancorp 2005 Supplemental Executive Retirement Plan.

F1 · derivative.exercise_date: Each deferred stock unit ("DSU") is the economic equivalent of one share of common stock. The DSUs become payable, in cash or common stock, or combination of the two, at the discretion of Horizon upon the conditions described in the Horizon Bancorp 2005 Supplemental Executive Retirement Plan.

F1 · derivative.expiration_date: Each deferred stock unit ("DSU") is the economic equivalent of one share of common stock. The DSUs become payable, in cash or common stock, or combination of the two, at the discretion of Horizon upon the conditions described in the Horizon Bancorp 2005 Supplemental Executive Retirement Plan.

Read SEC document
May 29, 2020 Filed Jun 1, 2020 18:45 UTC
DeRuiter Kathie AExecutive Vice President
GrantDeferred Stock Units · Derivative 5,653 $10.26 $57,999.78
Disclosure

SEC source: 0001595334-20-000003 · primary_doc.xml · derivative · entry 5

DeRuiter Kathie A · CIK 0001595334 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,614

Underlying: Common Stock · 5,653 shares

Expires not disclosed

F1 · derivative.exercise_price: Each 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 Horizon upon the conditions described in the Horizon Bancorp 2005 Supplemental Executive Retirement Plan.

F1 · derivative.exercise_date: Each 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 Horizon upon the conditions described in the Horizon Bancorp 2005 Supplemental Executive Retirement Plan.

F1 · derivative.expiration_date: Each 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 Horizon upon the conditions described in the Horizon Bancorp 2005 Supplemental Executive Retirement Plan.

Read SEC document
May 18, 2020 Filed May 19, 2020 21:20 UTC
Etzler Todd A.Senior Vice President & GC
GrantDeferred Stock Units · Derivative 784 $9.56 $7,495.04
Disclosure

SEC source: 0001783267-20-000004 · primary_doc.xml · derivative · entry 5

Etzler Todd A. · CIK 0001783267 · Senior Vice President & GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 784

Underlying: Common Stock · 784 shares

Expires not disclosed

F1 · derivative.exercise_price: Each 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 Horizon upon the conditions described in the Horizon Bancorp 2005 Supplemental Executive Retirement Plan.

F1 · derivative.exercise_date: Each 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 Horizon upon the conditions described in the Horizon Bancorp 2005 Supplemental Executive Retirement Plan.

F1 · derivative.expiration_date: Each 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 Horizon upon the conditions described in the Horizon Bancorp 2005 Supplemental Executive Retirement Plan.

Read SEC document
May 18, 2020 Filed Mar 18, 2021 21:19 UTC Amendment
Etzler Todd A.Executive Vice President & GC
GrantDeferred Stock Units · Derivative 784 $9.56 $7,495.04
Disclosure

SEC source: 0000706129-21-000031 · wf-form4a_161610232876011.xml · derivative · entry 5

Etzler Todd A. · CIK 0001783267 · Executive Vice President & GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 784

Underlying: Common Stock · 784 shares

Expires not disclosed

F1 · derivative.exercise_price: Each 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 Horizon upon the conditions described in the Horizon Bancorp 2005 Supplemental Executive Retirement Plan.

F1 · derivative.exercise_date: Each 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 Horizon upon the conditions described in the Horizon Bancorp 2005 Supplemental Executive Retirement Plan.

F1 · derivative.expiration_date: Each 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 Horizon upon the conditions described in the Horizon Bancorp 2005 Supplemental Executive Retirement Plan.

Read SEC document
May 15, 2020 Filed May 15, 2020 19:39 UTC GrantCommon Stock 3,000 $8.71 $26,130.00
Disclosure

SEC source: 0001609009-20-000004 · primary_doc.xml · nonDerivative · entry 1

Reed Steven William · CIK 0001609009 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,823

Read SEC document
May 15, 2020 Filed Mar 5, 2021 22:04 UTC Amendment PurchaseCommon Stock 3,000 $8.71 $26,130.00
Disclosure

SEC source: 0000706129-21-000014 · primary_doc.xml · nonDerivative · entry 1

Reed Steven William · CIK 0001609009 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,823

Read SEC document
March 17, 2020 Filed Mar 19, 2020 21:34 UTC
Kuhn DennisExecutive Vice President
Tax withholdingCommon Stock 1,220 $10.47 $12,773.40
Disclosure

SEC source: 0001445263-20-000004 · primary_doc.xml · nonDerivative · entry 2

Kuhn Dennis · CIK 0001445263 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,690

Read SEC document
March 17, 2020 Filed Mar 19, 2020 21:34 UTC
Kuhn DennisExecutive Vice President
GrantCommon Stock 5,383 $0.00 $0.00
Disclosure

SEC source: 0001445263-20-000004 · primary_doc.xml · nonDerivative · entry 1

Kuhn Dennis · CIK 0001445263 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,910

Read SEC document
March 17, 2020 Filed Mar 19, 2020 21:25 UTC
SECOR MARK EExecutive Vice President
Tax withholdingCommon Stock 1,480 $10.47 $15,495.60
Disclosure

SEC source: 0001276902-20-000002 · primary_doc.xml · nonDerivative · entry 2

SECOR MARK E · CIK 0001276902 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,486

Read SEC document
March 17, 2020 Filed Mar 19, 2020 21:25 UTC
SECOR MARK EExecutive Vice President
GrantCommon Stock 6,502 $0.00 $0.00
Disclosure

SEC source: 0001276902-20-000002 · primary_doc.xml · nonDerivative · entry 1

SECOR MARK E · CIK 0001276902 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,966

Read SEC document
March 17, 2020 Filed Mar 19, 2020 21:15 UTC
Etzler Todd A.Senior Vice President & GC
GrantCommon Stock 1,061 $0.00 $0.00
Disclosure

SEC source: 0001783267-20-000003 · primary_doc.xml · nonDerivative · entry 2

Etzler Todd A. · CIK 0001783267 · Senior Vice President & GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,828

Read SEC document
March 17, 2020 Filed Mar 19, 2020 21:15 UTC
Etzler Todd A.Senior Vice President & GC
Tax withholdingCommon Stock 1,276 $14.39 $18,361.64
Disclosure

SEC source: 0001783267-20-000003 · primary_doc.xml · nonDerivative · entry 1

Etzler Todd A. · CIK 0001783267 · Senior Vice President & GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,767

Read SEC document
March 17, 2020 Filed Mar 19, 2020 21:06 UTC
DWIGHT CRAIG MChief Executive Officer
Tax withholdingCommon Stock 6,453 $10.47 $67,562.91
Disclosure

SEC source: 0001234902-20-000002 · primary_doc.xml · nonDerivative · entry 2

DWIGHT CRAIG M · CIK 0001234902 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 239,727

Read SEC document
March 17, 2020 Filed Mar 19, 2020 21:06 UTC
DWIGHT CRAIG MChief Executive Officer
GrantCommon Stock 20,359 $0.00 $0.00
Disclosure

SEC source: 0001234902-20-000002 · primary_doc.xml · nonDerivative · entry 1

DWIGHT CRAIG M · CIK 0001234902 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 246,180

Read SEC document
March 17, 2020 Filed Mar 19, 2020 20:56 UTC
NEFF JAMES DPresident
Tax withholdingCommon Stock 1,742 $10.47 $18,238.74
Disclosure

SEC source: 0001273295-20-000002 · primary_doc.xml · nonDerivative · entry 2

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 259,864

Read SEC document
March 17, 2020 Filed Mar 19, 2020 20:56 UTC
NEFF JAMES DPresident
GrantCommon Stock 7,652 $0.00 $0.00
Disclosure

SEC source: 0001273295-20-000002 · primary_doc.xml · nonDerivative · entry 1

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 261,606

Read SEC document
March 17, 2020 Filed Mar 19, 2020 20:20 UTC
DeRuiter Kathie AExecutive Vice President
Tax withholdingCommon Stock 1,320 $10.47 $13,820.40
Disclosure

SEC source: 0001595334-20-000002 · primary_doc.xml · nonDerivative · entry 2

DeRuiter Kathie A · CIK 0001595334 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,210

Read SEC document
March 17, 2020 Filed Mar 19, 2020 20:20 UTC
DeRuiter Kathie AExecutive Vice President
GrantCommon Stock 5,653 $0.00 $0.00
Disclosure

SEC source: 0001595334-20-000002 · primary_doc.xml · nonDerivative · entry 1

DeRuiter Kathie A · CIK 0001595334 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,530

Read SEC document
February 28, 2020 Filed Mar 2, 2020 20:38 UTC PurchaseCommon Stock 10,000 $14.85 $148,500.00
Disclosure

SEC source: 0001137688-20-000002 · primary_doc.xml · nonDerivative · entry 1

PAIRITZ PETER L · CIK 0001137688 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 218,155

Read SEC document
February 27, 2020 Filed Mar 2, 2020 20:59 UTC
Kuhn DennisDirector
SaleCommon Stock 4,575 $15.87 $72,605.25
Disclosure

SEC source: 0001445263-20-000001 · primary_doc.xml · nonDerivative · entry 2

Kuhn Dennis · CIK 0001445263 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,527

Read SEC document
February 27, 2020 Filed Mar 2, 2020 20:59 UTC
Kuhn DennisDirector
Exercise / conversionCommon Stock 8,625 $4.45 $38,381.25
Disclosure

SEC source: 0001445263-20-000001 · primary_doc.xml · nonDerivative · entry 1

Kuhn Dennis · CIK 0001445263 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,102

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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February 27, 2020 Filed Mar 3, 2020 14:43 UTC Amendment
Kuhn DennisDirector
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 8,625 $0.00 Strike: $4.45 $0.00
Disclosure

SEC source: 0001445263-20-000002 · primary_doc.xml · derivative · entry 6

Kuhn Dennis · CIK 0001445263 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,625 shares

Expires 2020-05-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The option was granted on May 17, 2010 and vested in five equal installments beginning on the first anniversary of the date of grant.

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February 27, 2020 Filed Mar 3, 2020 14:43 UTC Amendment
Kuhn DennisDirector
SaleCommon Stock 4,575 $15.87 $72,605.25
Disclosure

SEC source: 0001445263-20-000002 · primary_doc.xml · nonDerivative · entry 2

Kuhn Dennis · CIK 0001445263 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,527

Read SEC document
February 27, 2020 Filed Mar 3, 2020 14:43 UTC Amendment
Kuhn DennisDirector
Exercise / conversionCommon Stock 8,625 $4.45 $38,381.25
Disclosure

SEC source: 0001445263-20-000002 · primary_doc.xml · nonDerivative · entry 1

Kuhn Dennis · CIK 0001445263 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,102

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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February 24, 2020 Filed Feb 25, 2020 22:03 UTC GrantDeferred Stock Units · Derivative 1,803 $16.63 $29,983.89
Disclosure

SEC source: 0001609009-20-000002 · primary_doc.xml · derivative · entry 1

Reed Steven William · CIK 0001609009 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,216

Underlying: Common Stock · 1,803 shares

Expires not disclosed

F1 · derivative.exercise_price: Adjusted to include shares purchased pursuant to a dividend reinvestment program since the date of the Reporting Person's last ownership report.

F1 · derivative.exercise_date: Adjusted to include shares purchased pursuant to a dividend reinvestment program since the date of the Reporting Person's last ownership report.

F1 · derivative.expiration_date: Adjusted to include shares purchased pursuant to a dividend reinvestment program since the date of the Reporting Person's last ownership report.

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February 24, 2020 Filed Feb 25, 2020 22:33 UTC GrantCommon Stock 1,803 $16.63 $29,983.89
Disclosure

SEC source: 0001137694-20-000001 · primary_doc.xml · nonDerivative · entry 1

VALAVANIS SPERO W · CIK 0001137694 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,165

F1 · balance_after: Adjusted to include shares purchased pursuant to a dividend reinvestment program since the date of the reporting person's last ownership report.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.