Post on 17-Mar-2020
transcript
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Soard of GQvemo.rs of th� F 1rdcrat Res!}rvo System
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Annual Report of Holding Companies-FR Y-6
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Report at the c.lo.se -Of business as of the e1Hf oftlscal year
The1 R<:p¢tl �� reqt1ired h:f /�'''': Se:;t.ix1 �{c)['1 Xt,) or the t;;J�k Ho/dTt:g Gonjp�/ Aot {12 U,S,C, § i$H (·�J:1)(A)}; &;c.-tion fl/,�.) Df lhe f.ntem3oonal e.an5fa;i Act (12 U .. S.C. § 31 OG(a}): SBcb"ons 11(fl)(1), 2$ Md �SA o( the l�ed.e\'i.1/ �S{!!Vit Act (12 u.s.c. §§ 2.48(a)(1% 6'J2., and f)11a); -$e<;tion 211.13{.c) of Regul2tim K {12 G.F.,R. § .21L18(c)); and Seolioo 225.5(b} of RBgulaiioo Y (� 2 C.F.R. § 22$.S(b)) and se>:;tloo 1 (l{•;X:Z){H) Df th;, 1-ICJ!1'$ C'1r,ie�· Loan Ad .. R.eium lo the appropriate Federal ResBrm Banf� llis ongiml �nci I.he number of wpie:;: specilied. , .
Thfa RipO.tl k�'1i'1 i3 f{) he fil�Cl b�/ �II tcp..tl:;r b�lik holdirin rnrnp;i" riles e:nd \i;ip-ti;.;r <-3�ings end bs;1 holding COl!lEX�nk·..s t;irg@ized uncfff U.S .. law. �irid by any icrnign ban&:ing organizali·on tha.'l d::le$ �ot m'*-1. lhe req:..riranient"I ,,;\;ind ie nO\ lrea�d .a:; ;:J qur1llfi" ing foreign bad:ing ori:i�mizalfo.1 ur;jer $eWJIJ 211,2$ of Regula5oo K (12 G.F-:R. § 211.23). (Soo pa:g8' one oUhs g&ieral ir:is-ln.;.:;ti;:in� fc< nv.xJ: detail .rJt wh<;i rnuS\ 1iie.) Th� Feder?! Resffi•e- mar r.:il cc:r,foct or spmsor, and an organlu;llm (or a p'.lrSoli) i:; not �ulreo IO· re<i[Xlntf !o, �n in!cmBi:ion cdfocijoo unless� p�i?fi a currently 'i�licf OME; control n0rntJif.
__ ,...ft ____ . _______ ,.,_�------------�-------------'--� ·------NO'IB lli& Annual F:epcd cf HIJfdii>:J C01IV-1<mi1J:; must l>t :;)grKd b)' one dire'd.ot of the l�,_.tifit holclii:jj wmr"�ny, Tnl� ,iodMduai E.°"�10\lld '3lf.o IY.;! <J &en!or officic;/ of the top-tier rr.�l\iir>J mmpafl'/, In the 8Ver1l f.flat Iha lop-iiSJ" holrfmg roirip<l!iy dr:Je$ not ira·�_t; i:l[J' •
irtdl .. ·idunl 'i/r(.J I$ D senior Grficial and i:'.i �lsi;i ;) dffecfor, tr.e crolr· rnan oFV-1"' 0,;.rc.i must sign 1he repo:t. 1,Craig M .. Dwight
ti�if�r}.G{ di:! Jf�dhfi Cr..mr�:iny:D�tDf ·-iinc? Ofi.c��! Ch<iirrr...,n, ?resident ao<l CEO iJIPo! Q( Ir" ;Jd:!l-._ i;r;<rp;JT)'D��r,j�r �'·� �I
uttcsl that ihc AnrwxJ Rope<! a( Holr$'11·a (;Cj{{iprmfe,, (irJ9iuclln.:i frie supp::ntirig alt2mmanis) iilr i:hia n.'f;.;Jit dal.t Iii.!� bett·i prtparcd iri eonio,iniancc \Yith th0c instructions l<•<>UW QY � fodernl P.e£er.•e Sy!:tem <ind ore true ano cnrroct tn fus oos: of ITTJ h1tJWb:lgr:i. and balieL
�Wh n>f.Ped to lnform?b'crr rG£;C!rd.•'ng !1;.fffi.,kJuEil? =i3.inw' .'n fros reprxt, file F<e,rx:.rl[)(" mr'Jf� iJJz,f if{7a� !lr<i aU'Ji(�/1y lo {J<O!?cJ.:: if.VSinfcrYn[f/iofi to lh& Ftdt;m,r RG;:;l'.!.rW, ifle Report:;r ih'iXI cr:rtiflf;S th-at if}l.33 /he BJJ(flcrify; on baha/f or each rndfviriu:oi� [o (;i)//!.;&m (>!' t:b.fey.:l lo public rafefi.sr,· o{ rnkmiaiion fi'jfjll((}Jng ii'mi. //'lf,\\'kfirli!, rim f()(/oral P.osl'Jrva m<.:iy a.�"&UilC; irl UJB sbscf)(Y.J if.a rsque.>f for con{irff!nfisl lroa(men! submilfr;d in o;:;qxdi:1riU' wit!i tJifJ iJoar'd's "Rui&'s Rf:[FJrd/!\{J AVi1if1btliiy d lntcrmatiolJ: 12 (;,F.R. P'ft 21)1, <ik'l.l ll!e Ri..'po!<G'f fil"1 J°Mi>1G�NJ! coasont lo public rekase of all .oo�s m �ernp?!::���ll--i·���·�-1�"'-------
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515- F1$nklin .Sq1m0 {lh:lr,;r id,rez o( li1eW1l1'1,;i Gcrnr.w:rr) S1·r.o1 I P..O. Bo-< Micf'lim.u1 Gi!l:.._.·-�- IN 46300 C!ij' $�--;c. Z1:l�
Person to \\!:<;!!ll quaslions about tlks n;,po.-t :sl"tOllld \)i� <.:lir�i0r:i: Dank.i R. &!rash \IP - CAO
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Horizon Grantor Trust Newark DE
lncor orated Jn Delaware
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Report Item 3: Securities Holders
Form FR Y-6 December 31, 2014
Current securities holders with ownership, control or holdings of 5% or more
with power to vote as of fiscal year ending 12/31/2014
Securities holders not listed in (3)(1 )(a) through (3)(1 )©that had ownership,
control or holdings of 5% or more with power to vote during the fiscal year
ending 12/31/2014
(1 )(a)
Name
City, State, Country
Horizon Bancorp ESOP
C/O Horizon Trust & Investment Co.
Michigan City, IN 46360
PL Capital Advisors, LLC
Naperville, IL 60540
Manulife Financial Corporation
Toronto, Ontario, Canada
(1)(b)
Country of Citizenship
or Incorporation
USA
USA
Canada
(1)©
Number and Percentage of
Each Class of Voting
Securities
800,339 I 8.69%
557,176 I 6.05%
504,010 I 5.47%
(2)(a) (2)(b) (2)©
Name
City, State, Country
None
Country of Citizenship
or Incorporation
Number and Percentage of
Each Class of Voting
Securities
h:\finance\call rpt\ Y6 2014
-::-.
Form FR Y-6 December 31, 2014
Re art Item 4: Insiders (4� List names of other
companies �ncludes
(4)(b) partnerships)
(2) (3)(b) (3� (4)(a) Percentage of if 25% or more of voting
(1) Principal (3)(a) Tit!e & Position Tiiie & Position with Percentage of Voling Securities Jn securities are held (list
Name Occupation if other Titre & Position with Subsidiaries Other Businesses Voting Securities Subsidiaries names of companies City, State, than with Bank with Bank Holding (Include names (Include names of in Bank Holding (include names and of percentage of Country Holding Company Company of subsidiaries) other businesses) Company of subsidiaries) voting securities held)
Susan D. Aaron Accounts Receivable Director Director CEO-Vision Financial Services 0.25% 0.00% 85% LaPorte. IN 46350 Management (Horizon Bank) USA Real Estate Holdings Agencl Proeerties Partners 50% Partner
Lawrence E. Burnell Hotel Development Director Director White Lodging Services Corp. 0.13% 0.00% NIA Valparaiso. IN 46385 & Management (Horizon Bank) Vice Chairman USA
Kathie A. DeRuiter None Ex VP & SOO Ex VP & SOO None 0.26% 0.00% NIA Michigan City. IN 46360 (Horizon Bank) USA
Craig M. Dwight None Chairman Chairman & CEO None 2.03% 0.00% NIA Michigan City, IN 46360 President & CEO (Horizon Bank) USA
James B. Dworkin Education Director Director Chancellor 0.12% 0.00% NIA Westville, IN 46391 (Horizon Bank) Purdue University-North Central USA
Thomas H. Edwards None Executive VP Director None 0.79% 0.00% NIA Michigan City, IN 46360 President & COO USA Horizon Bank
Charley E. Gillispie None Director Director None 0.16% 0.00% NIA Valparaiso, IN 46383 (Horizon Bank) USA
Daniel F. Hopp None Lead Director Director None 0.33% 0.00% NIA SI. Joseph, Ml 49085 (Horizon Bank) USA
Larry N. Middleton, Jr. Real Estate Brokerage Director Director President, Century 0.31% 0.00% 50% Partner Michigan City, IN 46360 (Horizon Bank) 21 Middleton Co, Inc. USA
Real Estate Referrals Middleton Referral, LLC 50% Partner Real Estate Investments M & B Investments 33.3% Partner Rental Proeerties Coveland Proeerties, LLC 50% Partner
James D. Neff None Secrelary Ex Vice Presidenl None 1.38% 0.00% NIA
of 2 h:\finance\call rpt\Y6 2014
.......
)
Form FR Y-6 December 31, 2014
Re or! Item 4: Insiders (4)© Ust names of other
companies Onciudes
(41ib) partnerships)
(2) (31ib) (3)© (41ia) Percentage of if 25% or more of voting
(1) Principal (3)(a) Til!e & Position Tille & Position with Percentage of Voting Securities in securities are held (List
Name Occupation if other litre & Position with Subsidiaries Other Businesses Voting Securities Subsidiaries names of companies
City, State, lhan with Bank. wilh Bank Holding (Include names (Include names of In Bank Holding (include names and of percentage of
Country Holding Company Company of subsidiaries) other businesses) Company of subsidiaries) voling securities held)
Michigan City, IN 46360 (Horizon Bank) USA
Peter L. Pairitz Industrial Real Estate Director Director President & Member 0.92% 0.00% 33.3% Partner Michigan City, IN 46360 (Horizon Bank) MC Enterprise Center, LLC USA Industrial Real Estate Rental President & Shareholder 47.5% Partner
MCL Acquisitions, Inc Metal Fabrication Member & Managing Member 41% Partner
Sager Metal Strip Co, Inc Investment in Farm and Member 12.5% Partner Timber Real Estate Dowa iac Creek, LLC
Steven W. Reed Public Accounting None Director BGBC Partners, LLP 0.04% 0.00% 15% Partner Indianapolis, IN 46204 Farm Ground Rental (Horizon Bank) Chadwick Gladstone Farms, LLC 37 .5% Partner USA Retail Real Estate Atosaras LLC 33.3% Partner
Enti!}' Holding Com�any BGBC Funding LLC 18.33% Partner
David G. Rose None Ex VP & SRBA Ex VP & SRBA None 1.13% 0.00% NIA Michigan Cily, IN 46360 (Horizon Bank) USA
Mark E. Secor None Ex VP & CFO Ex VP & CFO None 0.15% 0.00% NIA Michigan City, IN 46360 (Horizon Bank) USA
Robert E. Swinehart None Director Director None 0.29% 0.00% NIA Valparaiso, IN 46383 (Horizon Bank) USA
Spero W. Valavanis Planning, Architecture & Director Director Design Organization Inc. (Wholly 0.27% 0.00% 1.03% of Shive-Hattery Inc Valparaiso, IN 46383 Interior Design Firm (Horizon Bank) owned by Shive-Hattery Inc.) USA RE Ownership in LLC DO 57, LLC 25% Shareholder
RE Ownership in LLC 57 Franklin LLC 8.3% Shareholder RE Ownership Space Organization, Inc. 50% Shareholder RE Ownershie Ridge Proeer:!J' 25% Shareholder
Horizon Bancorp ESOP None None None None 8.69% 0.00% NIA c/o Horizon Trust & Inv Co. Michigan City, IN 46360 USA
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