Item 5. Other Information
ITEM 5. OTHER INFORMATION
Rule 10b5–1 Trading Plans
During the three months ended June 30, 2023, none of the Company's directors or executive officers adopted or terminated any contract, instruction or written plan for the purchase or sale of Company securities that was intended to satisfy the affirmative defense conditions of Rule 10b–5c or any “non–Rule 10b5–1 trading arrangement,” as that term is used in the Securities and Exchange Commission regulations.
ITEM 6. EXHIBITS
(a) Exhibits
Exhibit
No. Description Location
10.1 Amended and Restated Employment Agreement (Thomas M. Prame), dated as of June 1, 2023
Incorporated by reference to Exhibit 10.1 to Registrant's Form 8–K filed on May 18, 2023
10.2 Amended and Restated Change in Control Agreement (Thomas M. Prame), dated as of June 1, 2023
Incorporated by reference to Exhibit 10.2 to Registrant's Form 8–K filed on May 18, 2023
31.1 Certification of T homas M. P rame
Attached
31.2 Certification of Mark E. Secor
Attached
32 Certification of Chief Executive and Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
Attached
101 Inline Interactive Data Files Attached
104 The cover page from the Company’s Quarterly Report on Form 10–Q for the quarter ended June 30, 2023, has been formatted in Inline XBRL
Within the Inline XBRL document
72
Table of Contents
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
HORIZON BANCORP, INC.
August 8, 2023 /s/ Thomas M. Prame
Date Thomas M. Prame
Chief Executive Officer
August 8, 2023 /s/ Mark E. Secor
Date Mark E. Secor
Chief Financial Officer
73
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.