Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| HORIZON BANCORP INC /IN/HBNC · Entity 4968 | Executive Vice President | December 14, 2016 | March 22, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
HORIZON BANCORP INC /IN/
Report date December 14, 2016 · Filed March 22, 2017 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,658 |
Reported balance
After 2016-12-14 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2016-12-14 · Sale · Disposed 9,750 · Balance 2,658 F1: Adjusted for a 3:2 stock split effective November 14, 2016. F2: Amended to delete a holdings line duplicating direct holdings prior to the 12/14/2016 transaction. |
| Common StockSEC Table I · non-derivative | Direct | 12,408 |
Reported balance
After 2016-12-14 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2016-12-14 · Exercise / conversion · Acquired 9,750 · Balance 12,408 F1: Adjusted for a 3:2 stock split effective November 14, 2016. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $6.61 · Expires 2020-09-14 | Direct | 0 |
Reported balance
After 2016-12-14 transaction · row 6
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 6 · 2016-12-14 · Exercise / conversion · Disposed 9,750 · Balance 0 F1: Adjusted for a 3:2 stock split effective November 14, 2016. F3: The option was granted 09/14/2010 and vested in five equal installments beginning on the first anniversary of the date of the grant. |
| Common StockSEC Table I · non-derivative | IndirectBy SERP | 42,249 |
Reported balance
Holding disclosure · report date 2016-12-14 · row 3
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 3 · Balance 42,249 F1: Adjusted for a 3:2 stock split effective November 14, 2016. |
| Common StockSEC Table I · non-derivative | IndirectBy ESOP | 115,953 |
Reported balance
Holding disclosure · report date 2016-12-14 · row 4
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 4 · Balance 115,953 F1: Adjusted for a 3:2 stock split effective November 14, 2016. |
| Common StockSEC Table I · non-derivative | IndirectBy Thrift | 7,405 |
Reported balance
Holding disclosure · report date 2016-12-14 · row 5
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 5 · Balance 7,405 F1: Adjusted for a 3:2 stock split effective November 14, 2016. |
Filing footnotes · ownership attribution and instrument terms
F1: Adjusted for a 3:2 stock split effective November 14, 2016.
F2: Amended to delete a holdings line duplicating direct holdings prior to the 12/14/2016 transaction.
F3: The option was granted 09/14/2010 and vested in five equal installments beginning on the first anniversary of the date of the grant.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 14, 2016 Filed Dec 14, 2016 22:23 UTC | HORIZON BANCORP INC /IN/ HBNC · Entity 4968 | Exercise / conversionEmployee Stock Option · Derivative | 9,750 | $0.00 Strike: $6.61 | $0.00 |
DisclosureSEC source: 0001595078-16-000008 · primary_doc.xml · derivative · entry 6 Rose David G · CIK 0001595078 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,750 shares Expires 2017-06-18 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. F4 · derivative.exercise_date: The option was granted 06/18/2012 and vested in five equal installments beginning on the first anniversary of the date of the grant. Read SEC document |
| December 14, 2016 Filed Dec 14, 2016 22:23 UTC | HORIZON BANCORP INC /IN/ HBNC · Entity 4968 | Exercise / conversionCommon Stock | 9,750 | $6.61 | $64,447.50 |
DisclosureSEC source: 0001595078-16-000008 · primary_doc.xml · nonDerivative · entry 2 Rose David G · CIK 0001595078 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,408 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 |
| December 14, 2016 Filed Dec 14, 2016 22:23 UTC | HORIZON BANCORP INC /IN/ HBNC · Entity 4968 | SaleCommon Stock | 9,750 | $25.79 | $251,452.50 |
DisclosureSEC source: 0001595078-16-000008 · primary_doc.xml · nonDerivative · entry 1 Rose David G · CIK 0001595078 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,658 Read SEC document |
| December 14, 2016 Filed Mar 22, 2017 22:17 UTC Amendment | HORIZON BANCORP INC /IN/ HBNC · Entity 4968 | Exercise / conversionEmployee Stock Option · Derivative | 9,750 | $0.00 Strike: $6.61 | $0.00 |
DisclosureSEC source: 0001137692-17-000020 · primary_doc.xml · derivative · entry 6 Rose David G · CIK 0001595078 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,750 shares Expires 2020-09-14 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 · shares: Adjusted for a 3:2 stock split effective November 14, 2016. F3 · derivative.exercise_date: The option was granted 09/14/2010 and vested in five equal installments beginning on the first anniversary of the date of the grant. Read SEC document |
| December 14, 2016 Filed Mar 22, 2017 22:17 UTC Amendment | HORIZON BANCORP INC /IN/ HBNC · Entity 4968 | Exercise / conversionCommon Stock | 9,750 | $6.61 | $64,447.50 |
DisclosureSEC source: 0001137692-17-000020 · primary_doc.xml · nonDerivative · entry 2 Rose David G · CIK 0001595078 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,408 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 · balance_after: Adjusted for a 3:2 stock split effective November 14, 2016. Read SEC document |
| December 14, 2016 Filed Mar 22, 2017 22:17 UTC Amendment | HORIZON BANCORP INC /IN/ HBNC · Entity 4968 | SaleCommon Stock | 9,750 | $25.79 | $251,452.50 |
DisclosureSEC source: 0001137692-17-000020 · primary_doc.xml · nonDerivative · entry 1 Rose David G · CIK 0001595078 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,658 F1 · balance_after: Adjusted for a 3:2 stock split effective November 14, 2016. F2 · balance_after: Amended to delete a holdings line duplicating direct holdings prior to the 12/14/2016 transaction. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.