<SEC-DOCUMENT>0001193125-21-003194.txt : 20210106
<SEC-HEADER>0001193125-21-003194.hdr.sgml : 20210106
<ACCEPTANCE-DATETIME>20210106163129
ACCESSION NUMBER:		0001193125-21-003194
CONFORMED SUBMISSION TYPE:	8-A12G/A
PUBLIC DOCUMENT COUNT:		1
FILED AS OF DATE:		20210106
DATE AS OF CHANGE:		20210106

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			HORIZON BANCORP INC /IN/
		CENTRAL INDEX KEY:			0000706129
		STANDARD INDUSTRIAL CLASSIFICATION:	STATE COMMERCIAL BANKS [6022]
		IRS NUMBER:				351562417
		STATE OF INCORPORATION:			IN
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-A12G/A
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-10792
		FILM NUMBER:		21511028

	BUSINESS ADDRESS:	
		STREET 1:		515 FRANKLIN STREET
		CITY:			MICHIGAN CITY
		STATE:			IN
		ZIP:			46360
		BUSINESS PHONE:		2198790211

	MAIL ADDRESS:	
		STREET 1:		515 FRANKLIN STREET
		CITY:			MICHIGAN CITY
		STATE:			IN
		ZIP:			46360

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	HORIZON BANCORP /IN/
		DATE OF NAME CHANGE:	19920703

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	CITIZENS MICHIANA FINANCIAL CORP
		DATE OF NAME CHANGE:	19861021
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-A12G/A
<SEQUENCE>1
<FILENAME>d105928d8a12ga.htm
<DESCRIPTION>8-A12G/A
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<P STYLE="line-height:3.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1px solid #000000">&nbsp;</P> <P STYLE="margin-top:4pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>UNITED STATES </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>SECURITIES AND EXCHANGE COMMISSION </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Washington, D.C. 20549 </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>FORM <FONT
STYLE="white-space:nowrap">8-A/A</FONT> </B></P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>(Amendment No.&nbsp;1) </B></P>
<P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center> <P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>PURSUANT TO SECTION 12(b) OR (g)&nbsp;OF THE SECURITIES EXCHANGE ACT OF 1934 </B></P>
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<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:24pt; font-family:Times New Roman" ALIGN="center"><B>Horizon Bancorp, Inc. </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>(Exact name of registrant as specified in its charter) </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="top" ALIGN="center"><B>Indiana</B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B><FONT STYLE="white-space:nowrap">35-1562417</FONT></B></TD></TR>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(State or other jurisdiction of</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>incorporation or organization)</B></P></TD>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(I.R.S. Employer</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Identification No.)</B></P></TD></TR>
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<TD VALIGN="top" ALIGN="center"><B>515 Franklin Street</B></TD>
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<TD VALIGN="top" ALIGN="center"><B>Michigan City, Indiana</B></TD>
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<TD VALIGN="top" ALIGN="center"><B>46360</B></TD></TR>
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<TD VALIGN="bottom" ALIGN="center"><B>(Address of Principal Executive Offices)</B></TD>
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<TD VALIGN="bottom" ALIGN="center"><B>(Zip Code)</B></TD></TR></TABLE> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Securities to be registered pursuant to
Section&nbsp;12(b) of the Act: </P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="bottom" NOWRAP ALIGN="center"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; display:table-cell; font-size:8pt; font-family:Times New Roman; " ALIGN="center"><B>Title of each class to be so
registered</B></P></TD>
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<TD VALIGN="bottom" NOWRAP ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Name of each exchange on</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; border-bottom:1.00pt solid #000000; display:table-cell; font-size:8pt; font-family:Times New Roman; " ALIGN="center"><B>which each class is to be registered</B></P></TD></TR>
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<TD VALIGN="top" ALIGN="center"><B>Common stock, no par value</B></TD>
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<TD VALIGN="top" ALIGN="center"><B>The NASDAQ Stock Market LLC</B></TD></TR>
</TABLE> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center> <P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">If this form relates to the registration of a class of securities pursuant to Section&nbsp;12(b) of the Exchange Act and is effective pursuant
to General Instruction A.(c) or (e), check the following box.&nbsp;&nbsp;&#9746; </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">If this form relates to the registration of a class of
securities pursuant to Section&nbsp;12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d) or (e), check the following box.&nbsp;&nbsp;&#9744; </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">If this form relates to the registration of a class of securities concurrently with a Regulation A offering, check the following
box.&nbsp;&nbsp;&#9744; </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Securities Act registration statement or Regulation A offering statement file number to which this form relates:
Not applicable </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Securities to be registered pursuant to Section&nbsp;12(g) of the Act: None </P>
<P STYLE="font-size:10pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P> <P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B><U>INFORMATION REQUIRED IN REGISTRATION STATEMENT </U></B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B><U>Item</U><U>&nbsp;</U><U>1. Descri</U>p<U>tion of Re</U>g<U>istrant&#146;s Securities to be Re</U>g<U>istered.</U> </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Description of Common Stock </B></P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Horizon
Bancorp, Inc. (&#147;Horizon,&#148; &#147;Company,&#148; &#147;us,&#148; &#147;we,&#148; or &#147;our&#148;) has one class of securities registered under Section&nbsp;12 of the Securities Exchange Act of 1934, as amended (the &#147;Exchange
Act&#148;). We have registered our common stock, no par value (the &#147;common stock&#148;). </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The following summary description sets forth some of the
general terms and provisions of the common stock. Because this is a summary description, it does not contain all of the information that may be important to you. For a more detailed description of the common stock, you should refer to the provisions
of our Amended and Restated Articles of Incorporation (&#147;Articles&#148;) and our Amended and Restated Bylaws (&#147;Bylaws&#148;), each of which is an exhibit to this Form <FONT STYLE="white-space:nowrap">8-A/A,&nbsp;as</FONT> well as the
provisions of the Indiana Business Corporation Law (the &#147;IBCL&#148;). </P> <P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>General </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Under our Articles of Incorporation, we are authorized to issue up to 99,000,000 shares of common stock, no par value, and 1,000,000 shares of preferred stock.
No shares of preferred stock are currently outstanding. </P> <P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Dividends </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Holders of common stock are entitled to receive dividends when, as and if declared by our board of directors out of funds legally available for their payment.
Horizon&#146;s ability to pay dividends is subject to statutory restrictions in the IBCL and in banking regulations, including certain regulations impacting Horizon Bank&#146;s ability to pay dividends to Horizon (in order to fund Horizon&#146;s
dividends or to be used for other purposes). </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Horizon has no issued and outstanding shares of preferred stock that take preference in dividend
distributions over shares of common stock. </P> <P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Voting Rights </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Each holder of our common stock is entitled to one vote per share on all matters submitted to a vote of stockholders. Holders of common stock do not have
cumulative voting rights. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Generally, a matter submitted for stockholder action shall be approved if the votes cast &#147;for&#148; the matter exceed the
votes cast &#147;against&#148; such matter, unless a greater or different vote is required by statute, any applicable law, the rights of any authorized class of stock, or the Company&#146;s Articles or Bylaws. With respect to the election of
directors, directors will be elected by a plurality of the votes cast, which means that the director nominees who receive the highest number of shares of common stock voted &#147;for&#148; their election are elected. </P>
<P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>No Preemptive, Redemption or Conversion Rights; No Sinking Funds </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The common stock is not redeemable, is not subject to sinking fund provisions, does not have any conversion rights and is not subject to call. The shares of
common stock currently outstanding are fully paid and <FONT STYLE="white-space:nowrap">non-assessable.</FONT> Holders of shares of common stock have no preemptive rights to maintain their percentage of ownership in future offerings or sales of our
common stock. </P>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Rights Upon Liquidation </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">In the event of the Company&#146;s voluntary or involuntary liquidation, dissolution, <FONT STYLE="white-space:nowrap">or&nbsp;winding-up,&nbsp;the</FONT>
holders of shares of Horizon common stock are entitled to receive a ratable share of any assets available for distribution after the payment of, or provision for, payment of Horizon&#146;s debts and other liabilities and of all shares having
priority over the common stock. Horizon presently has no issued and outstanding shares of preferred stock that take preference in liquidation distributions over its shares of common stock. </P>
<P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Preferred Stock </B></P> <P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Our board of directors is authorized,
without further action by our stockholders, to issue up to 1,000,000 shares of preferred stock, in one or more series, and to fix the preferences, limitations and relative voting and other rights of each series. The issuance of preferred stock could
impede the completion of a merger, tender offer or other takeover attempt. Horizon presently has no issued and outstanding shares of preferred stock. </P>
<P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Other Provisions of Our Articles and Bylaws or the IBCL That May Have Anti-Takeover Effects </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B><I>Directors.</I></B>&nbsp;Certain provisions in our Articles and Bylaws may impede changes to the members of the board of directors. Our Bylaws state that
the Horizon board of directors will be composed of 5 to 15 members, with the actual number being set by resolution of the board. Currently, the number of directors is set at 11 members. The Articles divide the board into three classes, with
directors in each class elected for staggered three-year terms. As a result, it would take two annual elections to replace a majority of the Horizon board. Also under the Articles, any director may be removed, with or without cause, by the
affirmative vote of the holders of 70% of the outstanding shares of Horizon&#146;s capital stock entitled to vote on the election of directors. Any director may also be removed with cause by the affirmative vote of (i)&nbsp;the holders of a majority
of all the outstanding shares of capital stock entitled to vote on the election of directors, <FONT STYLE="white-space:nowrap">or&nbsp;(ii)&nbsp;two-thirds&nbsp;or</FONT> more of the other directors. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The Bylaws provide that any vacancy occurring in the Horizon board, including a vacancy created by resignation, death, incapacity, or an increase in the
number of directors, may be filled for the remainder of the unexpired term by a majority vote of the directors then in office. No decrease in the number of directors can have the effect of shortening the term of any incumbent director. The Bylaws
also impose certain notice requirements in connection with the nomination by shareholders of candidates for election to the board of directors, and for proposals by stockholders of business to be transacted at a meeting of stockholders. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B><I>Restrictions on Call of Special Meetings.</I></B>&nbsp;The Horizon Bylaws state that special stockholders&#146; meetings may be called by the Chairman,
the President, or at the request in writing of a majority of the directors, by the Secretary. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B><I>Evaluation of Offers.</I></B>&nbsp;The IBCL
specifically authorizes directors, in considering the best interests of a corporation, to consider the effects of any action on shareholders, employees, suppliers, and customers of the corporation, the communities in which offices or other
facilities of the corporation are located, and any other factors the directors consider pertinent. In addition to these factors, Horizon&#146;s Articles provide that the Horizon board, when evaluating a business combination or tender or exchange
offer, in addition to considering the adequacy of the amount to be paid in connection with any such transactions, may also consider the following factors and any other factors that it deems relevant: (a)&nbsp;the social and economic effects of the
transaction on Horizon and its subsidiaries, and each of their respective employees, depositors, loan and other customers, creditors, and other elements of the communities in which Horizon and its subsidiaries operate or are located; (b)&nbsp;the
business and financial condition and earnings prospects of the acquiring person or persons, including, but not limited to, debt service and other existing or likely financial obligations of the acquiring person or persons, and the possible effect of
such conditions upon Horizon and its subsidiaries and the other elements of the communities in which Horizon and its subsidiaries operate or are located; and (c)&nbsp;the competence, experience, and integrity of the acquiring person or persons and
its or their management. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B><I>Procedures for Certain Business Combinations.</I></B>&nbsp;The Horizon Articles require the affirmative vote of 70% of the
outstanding shares of all classes of voting stock (reduced to 66<SUP STYLE="font-size:85%; vertical-align:top">2/3</SUP>% under certain conditions), and an independent majority of shareholders, to approve certain business combinations with holders
of more than 10% of Horizon&#146;s voting shares or their affiliates. </P>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B><I>Amendments to Articles and Bylaws.</I></B>&nbsp;With certain exceptions, amendments to the Horizon
Articles must be approved by a majority vote of the Horizon board of directors and also by a vote of stockholders in which more votes are cast in favor of the amendment than against the amendment. Additionally, the following provisions of the
Horizon Articles may not be altered, amended or repealed without the affirmative vote of at least 70% of the outstanding shares of Horizon stock entitled to vote on such matter: (i)&nbsp;Section&nbsp;6.3, which establishes a three-tier director
class structure; and (ii)&nbsp;Section&nbsp;6.4, regarding director removal. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The power to make, alter, amend or repeal a provision of the Bylaws is
vested in both the board of directors and the holders of shares of common stock. </P> <P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B><U>Item</U><U>&nbsp;</U><U>2. Exhibits.</U> </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The following exhibits are filed as part of this Registration Statement on Form <FONT STYLE="white-space:nowrap">8-A/A:</FONT> </P>
<P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="bottom" NOWRAP ALIGN="center"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; display:table-cell; font-size:8pt; font-family:Times New Roman; " ALIGN="center"><B>Exhibit<BR>Number</B></P></TD>
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<TD VALIGN="bottom" NOWRAP ALIGN="center"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; display:table-cell; font-size:8pt; font-family:Times New Roman; " ALIGN="center"><B>Description</B></P></TD></TR>


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<TD VALIGN="top" NOWRAP>1</TD>
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<TD VALIGN="top">Amended and Restated Articles of Incorporation of Horizon Bancorp, Inc. effective May&nbsp;16, 2018 (incorporated by reference to Exhibit 3.1 to Registrant&#146;s Form <FONT STYLE="white-space:nowrap">8-K</FONT> filed on
May&nbsp;16, 2018).</TD></TR>
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<TD VALIGN="top" NOWRAP>2</TD>
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<TD VALIGN="top">Amended and Restated Bylaws of Horizon Bancorp, Inc. (incorporated by reference to Exhibit 3.2 to Registrant&#146;s Form <FONT STYLE="white-space:nowrap">8-K</FONT> filed on January&nbsp;22, 2020).</TD></TR>
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<TD VALIGN="top" NOWRAP>3</TD>
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<TD VALIGN="top">Form of specimen common stock certificate (incorporated by reference to Exhibit 4.1 to Registrant&#146;s Form S-3 filed on January&nbsp;27, 2012).</TD></TR>
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<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Pursuant to the requirements of Section&nbsp;12 of the Securities Exchange Act of 1934, the registrant has duly caused this registration
statement to be signed on its behalf by the undersigned, thereto duly authorized. </P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="top" COLSPAN="3"><B>HORIZON BANCORP, INC.</B></TD></TR>
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<TD VALIGN="top">Date: January&nbsp;6, 2021</TD>
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<TD VALIGN="top">By:</TD>
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<TD VALIGN="top"> <P STYLE="margin-top:0pt; margin-bottom:1pt; border-bottom:1px solid #000000; font-size:10pt; font-family:Times New Roman">/s/ Mark E. Secor</P></TD></TR>
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<TD VALIGN="top">Mark E. Secor</TD></TR>
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