NEFF JAMES D

SEC source: 0000706129-22-000059 · wf-form4_164908276091049.xml · nonDerivative · entry 1

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,410

SEC source: 0000706129-22-000051 · wf-form4_164806959814632.xml · derivative · entry 5

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,079

Underlying: Common Stock · 2,040 shares

Expires 2029-03-19

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.

F1 · derivative.exercise_date: The option was granted on 03/19/2019 and vest in three equal annual installments beginning on the first anniversary of the date of grant.

F1 · derivative.expiration_date: The option was granted on 03/19/2019 and vest in three equal annual installments beginning on the first anniversary of the date of grant.

SEC source: 0000706129-22-000051 · wf-form4_164806959814632.xml · nonDerivative · entry 1

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,210

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.

SEC source: 0000706129-22-000031 · wf-form4_164641370845896.xml · derivative · entry 12

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,040

Underlying: Common Stock · 4,079 shares

Expires 2029-03-19

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.

F4 · derivative.exercise_date: The option was granted 03/19/2019 and vested in three equal installments beginning on the first anniversary of the date of the grant.

SEC source: 0000706129-22-000031 · wf-form4_164641370845896.xml · derivative · entry 11

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,076 shares

Expires 2027-03-21

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.

F3 · derivative.exercise_date: The option was granted 03/21/2017 and vested in three equal installments beginning on the first anniversary of the date of the grant.

SEC source: 0000706129-22-000031 · wf-form4_164641370845896.xml · derivative · entry 10

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,627 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 03/15/2016 and vested in three equal installments beginning on the first anniversary of the date of the grant.

SEC source: 0000706129-22-000031 · wf-form4_164641370845896.xml · nonDerivative · entry 6

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,170

SEC source: 0000706129-22-000031 · wf-form4_164641370845896.xml · nonDerivative · entry 5

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,249

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.

SEC source: 0000706129-22-000031 · wf-form4_164641370845896.xml · nonDerivative · entry 4

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,170

SEC source: 0000706129-22-000031 · wf-form4_164641370845896.xml · nonDerivative · entry 3

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,246

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.

SEC source: 0000706129-22-000031 · wf-form4_164641370845896.xml · nonDerivative · entry 2

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,170

SEC source: 0000706129-22-000031 · wf-form4_164641370845896.xml · nonDerivative · entry 1

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,797

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.

SEC source: 0000706129-22-000002 · wf-form4_164251971164411.xml · nonDerivative · entry 2

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,170

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 June 1, 2021.

F3 · shares: This transaction was executed in multiple trades at prices ranging from $23.00 to $23.11. 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.

SEC source: 0000706129-22-000002 · wf-form4_164251971164411.xml · nonDerivative · entry 1

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,170

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 June 1, 2021.

F2 · shares: This transaction was executed in multiple trades at prices ranging from $22.00 to $22.02. 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.

SEC source: 0000706129-21-000039 · wf-form4_161642562818327.xml · nonDerivative · entry 1

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,170

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 $20.000 to $20.085. 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.

SEC source: 0000706129-21-000033 · wf-form4_161610262090536.xml · nonDerivative · entry 1

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 218,895

SEC source: 0001273295-21-000002 · primary_doc.xml · nonDerivative · entry 1

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 217,164

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.

F2 · shares: This transaction was executed in multiple trades at prices ranging from $20.00 to $20.15. 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.

SEC source: 0001273295-21-000001 · primary_doc.xml · nonDerivative · entry 1

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 229,864

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 $19.75 to $19.81. 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.

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.

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.

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

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

SEC source: 0001273295-19-000004 · primary_doc.xml · nonDerivative · entry 1

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 253,954

SEC source: 0001273295-19-000003 · primary_doc.xml · nonDerivative · entry 1

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 253,154

SEC source: 0001273295-19-000002 · primary_doc.xml · derivative · entry 6

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,119

Underlying: Common Stock · 6,119 shares

Expires 2029-03-19

F1 · derivative.exercise_date: The options vest in three equal annual installments on the anniversary date of the grant, beginning March 19, 2020.

SEC source: 0001273295-19-000002 · primary_doc.xml · nonDerivative · entry 2

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,654

SEC source: 0001273295-19-000002 · primary_doc.xml · nonDerivative · entry 1

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,252

SEC source: 0001273295-19-000001 · primary_doc.xml · derivative · entry 5

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Indirect · By SERP

Disclosed balance after: 34,090

Underlying: Common Stock · 34,090 shares

Expires not disclosed

F3 · derivative.exercise_price: 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.

F3 · derivative.exercise_date: 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.

F3 · derivative.expiration_date: 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.

SEC source: 0001273295-18-000002 · primary_doc.xml · nonDerivative · entry 1

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,371

F1 · balance_after: Adjusted for a 3:2 stock split effective as of 06/15/2018

SEC source: 0001273295-18-000001 · primary_doc.xml · derivative · entry 9

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3.084 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 03/15/2016 and vested in two equal installments beginning on the first anniversary of the date of the grant.

SEC source: 0001273295-18-000001 · primary_doc.xml · derivative · entry 8

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,829 shares

Expires 2025-03-17

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.

F1 · derivative.exercise_date: The option was granted 03/17/2015 and vested in three equal installments beginning on the first anniversary of the date of the grant.

SEC source: 0001273295-18-000001 · primary_doc.xml · nonDerivative · entry 4

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,581

SEC source: 0001273295-18-000001 · primary_doc.xml · nonDerivative · entry 3

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,665

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.

SEC source: 0001273295-18-000001 · primary_doc.xml · nonDerivative · entry 1

NEFF JAMES D · CIK 0001273295 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,410

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.

SEC source: 0000908834-18-000062 · edgar.xml · nonDerivative · entry 2

NEFF JAMES D · CIK 0001273295 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,581

SEC source: 0000908834-18-000062 · edgar.xml · nonDerivative · entry 1

NEFF JAMES D · CIK 0001273295 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,050

SEC source: 0001273295-17-000004 · primary_doc.xml · derivative · entry 9

NEFF JAMES D · CIK 0001273295 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,084 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 03/15/2016 and vested in one equal installment beginning on the first anniversary of the date of the grant.

SEC source: 0001273295-17-000004 · primary_doc.xml · derivative · entry 8

NEFF JAMES D · CIK 0001273295 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,559 shares

Expires 2025-03-17

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.

F1 · derivative.exercise_date: The option was granted 03/17/2015 and vested in two equal installments beginning on the first anniversary of the date of the grant.

SEC source: 0001273295-17-000004 · primary_doc.xml · nonDerivative · entry 4

NEFF JAMES D · CIK 0001273295 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,260

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.

SEC source: 0001273295-17-000004 · primary_doc.xml · nonDerivative · entry 3

NEFF JAMES D · CIK 0001273295 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,176

SEC source: 0001273295-17-000004 · primary_doc.xml · nonDerivative · entry 2

NEFF JAMES D · CIK 0001273295 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,735

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.

SEC source: 0001273295-17-000004 · primary_doc.xml · nonDerivative · entry 1

NEFF JAMES D · CIK 0001273295 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,176

SEC source: 0001273295-17-000003 · primary_doc.xml · derivative · entry 12

NEFF JAMES D · CIK 0001273295 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,100 shares

Expires 2025-03-17

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.

F3 · derivative.exercise_date: The option was granted 03/17/2015 and vested in two equal installments beginning on the first anniversary of the date of the grant.

SEC source: 0001273295-17-000003 · primary_doc.xml · derivative · entry 11

NEFF JAMES D · CIK 0001273295 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,267 shares

Expires 2024-03-18

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 03/18/2014 and vested in three equal installments beginning on the first anniversary of the date of the grant.

SEC source: 0001273295-17-000003 · primary_doc.xml · derivative · entry 10

NEFF JAMES D · CIK 0001273295 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,645 shares

Expires 2023-06-18

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.

F1 · derivative.exercise_date: The option was granted 06/18/2013 and vested in three equal installments beginning on the first anniversary of the date of the grant.

SEC source: 0001273295-17-000003 · primary_doc.xml · nonDerivative · entry 6

NEFF JAMES D · CIK 0001273295 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,276

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.

SEC source: 0001273295-17-000003 · primary_doc.xml · nonDerivative · entry 5

NEFF JAMES D · CIK 0001273295 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,176

SEC source: 0001273295-17-000003 · primary_doc.xml · nonDerivative · entry 4

NEFF JAMES D · CIK 0001273295 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,443

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.

SEC source: 0001273295-17-000003 · primary_doc.xml · nonDerivative · entry 3

NEFF JAMES D · CIK 0001273295 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,176

SEC source: 0001273295-17-000003 · primary_doc.xml · nonDerivative · entry 2

NEFF JAMES D · CIK 0001273295 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,821

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.