5 ; -�-·' Soa of vemos of th� Fdcrat Rrvo System V�� l�l� I l'•J:,1 t.pt�1 r .. rrr� g�11, . P! 1 2 Annual Report of Holding Companies-FR Y-6 -- Repo at e co.se busins as of e e1 oftlsl year Th Rp¢ �� rt1ired h /�'''': Se 1 �{c)['1 Xt,) or t ה�k Ho/d njp�/ Aot {12 U,S,C, § i$H (·�1)(A)}; n �.) Df lhe fntem3ꝏnal e.an5fa Act (12 US.C. § 31 OG(a}): cs 11(fl)(1), 2$ Md � o( the l�edi/ � t (12 u.s.c. §§ 248(a1% 62 and 11a); -$on 211.1) of Reg2m K {12 G.F.. § .21L18(c)); and Seꝏ 65.5(b} of RBgulaiioo Y (� 2 C.FR. § 22$.b)) and slꝏ 1 •;XH) Df C'1e�· an Ad Rm lo e aate Fal ResBrm Banf� ongiml �n Ie number of wpie spel. , . Thfa pOl k�'11 f ה� b �II t.tr b�k holdirin " riles nd \ip-;r <s end b hoing l�n ed unff U.S law. �irid by any n ban&:ing organili · t d �ot lhe reririent d ie n ea�d .a qur1llfi" ing rn bad:ing o�mio.1 ujer JIJ 211,2$ of Regula5oo K (12 G.R. § 211.7). (o p one oUhs al irn� fc< de . rnu .) Th� Fede! Resffi•e- mar r.l cr,fo or spmso and an organllm (or a ) i n �ulreo IO· !o, �n inon cdfoco u� p a en �li OM cl n0. ,ſt __ . ___ ,·NO i& Annual epcd cf Hi> C<mi1J must )g b)' one d of l�tt hol wmr"�ny, Tnl� ,iodMduai E10\lld lf n!or offi/ of the top-er �lJ mmpa/, In e er1l fl@ a lop-ii hol irip d n ira·� J' • il .. ·idunl 'i( I$ D sor Gal and �l dffecfor, e crolr· an oF1 must gn e re. 1,Craig M ight t�. �dhfi r�ny:D� ·in ��! Chirn, ?reside a CEO I! Q( Ir" d._ D��r�r �'·� �I uttcsl at c r Rop! a( r (iuln suirig alt2mmanis) r n dt Iii� b?t·i prt- parcd nan \Yi th suions l<•UW QY � dl P.e£er.•e nd ore e ano r s ꝏ of TJ bg a balieL � f to l n f b rG• !1;ffi ? 3' .'n fs e, Jz ifa� ! a(�y lo {?cJ infYn to lh& Ftdr RW, e Report ' 33 / הJ(fl /f ea rv� [o b lo blic · lg //\, rim / P a; irl UJB if.a rsef f l la( su in qx d's "Rꭐ&'s r Abiy d ln: 12 FR. P 21, < ll!e G N nt lo pu ka l .ꝏ�s m �ep : ���ll· ��� · �- 1 � - ----- sinnaux� c< ��j-(9 CW · rt1t � r;;i� j - < D * _ �r5�n;nJ.�,_ - . _ -f hg cpas g J t/J SEC- lr 1 cli sli r u�I Rcrl ( SMrrc�d l 0 1nrJ� 'M 1ho P Y-� .rort D ·1� bu 1 t1r: r ��llc 1& ' D ʦ 001 OfQOOtꝃ Dl ofRap(tp·lk,f hdding "ornpans +s -sn): £�be[31� .,�2�0�1 �4 _____ _ Mn ! Di•1 /or · Nl6 _," '�•r� l�11<�iy<lr<I) (ZJ•or� 1.61 ·��) Res Na�, S Mailing Address Wln _ L�J:I Ttf Qf Hok!nw ·l)Hif•�liy 51 Fnklin q 1 m0 {lr id,r 1eW1'1 Gr S1·r1 I P.O. < Micim ·-�- IN 46>0 C $ � Pen to ll quasns ut s lllld i� <ir�i: Dki R. P - CAO Ut 21QM�0�82 __ ,,,.,r,_,_�,, •,. , __ •� · __ _ P ( I l9n� tlumcd I n;lon 2 l9�973·2D22 � {t );1111 Ff\ t�Jf doL1$h ·hczon bnR, � ��z W'/i\,hizonbank.com �� (fJ� fC 1i ) (:(r:)f$ Wꝃ C I 9 � r�- �.&f .Cpff fo��!m�m foe ny pil!i u/ tr�:e I !�-01? · D Ye �"� .ic%1 41� ile \a l'•fi/h l. f�8 8ppllc� : t ' - D hi �1))JfaB �, 1sd Pl';� ·Gt{-2 j 3, a rdl rg tnc ,wstfa ber mo•1l�Q O Tn infiJrrtii;o " i de81 rr;ff1t i H ;, :r•• s.� ""b·r� "C�Dfid1t81." '- P•J�y nHtii� Q:n V · 1� 1fnn c!·�1i i�- ·=�� i • f11111 'i :� -k1 1 �Jr .t:1;·�1:��;;. � }) i .S.�i :t r* t�:1 ·iuL �m� 1: �h 1-· m�!�1-c t :.Jr furn d w·��· l1�;f11 �n ����� �� rroH:o :H:i.on. cn ; r�J l turꝃn c�1mSa -�, • .�� of! ��J�-�hf• d 1f 11i1;;:11_ 1:!!:.u.lhj ���r f;r rnt!u�t? Hi b _ud�� ' ( 3:-:rrr. � � Gnr· lh fJ R��r ; . .:.�1}1h.nd ..;. ,. /l-f_. DC .2J;f. Hf1:J to-:� ·O� rn� ;m EL, � �:u Pi iC}�, �I) CG 3.
Transcript
5 ; -�-·'
Soard of GQvemo.rs of th� F 1rdcrat Res!}rvo System
V��.J l�l.t"f� I l'tr..t•J..:;::,1
t.pt<Ct�;i-1 r .. rr.Cr� g��-n:1:µ-:J1, .:..-1:'t!i P-!:t';t! 1 r:f2
Annual Report of Holding Companies-FR Y-6
-----�·--
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
Amndl!tdp!!•?t!Vnl"9&11st1m t, lnlhc01t&Actt.11c*1111of�bf1ndl1ow,..,1tt-or-•oflhlxtiDM�btlow. 2. "�ed,Mttrlhc-"totlnlhlClhcttwOttuoblln. -.. Cl<: "thrbm'f:hlf>iomo1t1atiisror1r1.l.tnl.tr'CX'lntheDat1Attla11mlumn. Chllnp: lf11Mbr1�lnform1tio11'5ll1corl«lorlncvm�l!',rrv!wllwd.lll,mll!'r'Chl111•'lrithe01t11Actlo11colum11111dthed.ltewhl!'nlh1Jlnlorm11ionlim�m1w11idl11the[ffctth'IDt11tolum11. (lolw: ti 1 llf11ich lftted wn Miid or doMd, m� "Cllliw'' In lhlOIJ\.I Adlen colum111MI the ule or clot.ut•d.lt.- ln lh!(fftdlw Date columt\. ��k: H 1 branch� Wl$MWf owftH.., ltlk �lory IM�llDtl,flMt 'Dntw' In IM Otta Actlon<OlutM. Md:: Ht •f1'0l't&bk br-"' kmlulftl. ir-111 rnw, add lhl britfdl d.1111, Md Mltf 'AM In !ht Oat.I AdlOfl cdurM and ltw..-.1or KqUhlllDn dall! In th. Erttrtlw Ott. colu.-.
Sybmlu)g11ran;1dutf Wfxn you 111 finbl'll'd, wnd a uwd «IP'/ IO your fllB eoiil.uL SH th!dct.tilirll im.rruc:tlont on lhll ll111or m0f1 lnlo!nwotloll. !!you 1 1e e-m1illroc lhil ta \IOllf f�lc:onun, put '!'OUf instituti!.llWlllll!', citl/ 1ndst11t In !tie wbjt<t ln!oflh!e-m1ll.
(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
(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
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
