-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, AhjRbBu75tYtsO8b4JQPzn7yGEmhwfdJdoOxESmbivD3NHYiU3MIRtonIQmSJ7Sy oZ8+C4KbrvpSlwghnEZcLQ== 0000950152-02-000147.txt : 20020413 0000950152-02-000147.hdr.sgml : 20020413 ACCESSION NUMBER: 0000950152-02-000147 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020110 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HORIZON BANCORP /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: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06479 FILM NUMBER: 2506451 BUSINESS ADDRESS: STREET 1: 515 FRANKLIN SQ CITY: MICHIGAN CITY STATE: IN ZIP: 46360 BUSINESS PHONE: 2198790211 MAIL ADDRESS: STREET 1: 515 FRANKLIN SQ CITY: MICHIGAN CITY STATE: IN ZIP: 46360 FORMER COMPANY: FORMER CONFORMED NAME: CITIZENS MICHIANA FINANCIAL CORP DATE OF NAME CHANGE: 19861021 13F-HR 1 l92222ae13f-hr.txt HORIZON BANCORP 13F-HR December 2001 form 13(f) Report for the Calendar Year or Quarter Ended: 12/31/2001 Check here if Amendment [ ]; Amendment Number: This Amendment (check only one): [ ] is a restatement [ ] adds new holdings entries Institutional Investment Manager Filing this Report: Name: Horizon Bancorp Address: 515 Franklin Square Michigan City, IN 46360 Form 13F File Number 28-6479 Person Signing this Report on Behalf of Reporting Manager: Name: James Foglesong Title: Chief Financial Officer Phone: 219-873-2608 Signature, Place, and Date of Signing: /s/ James Foglesong Michigan City, IN 1/10/02 - ---------------------------------------- ----------------- ---------- James Foglesong, Chief Financial Officer Place Date Report Type (check only one): [X] 13F Holdings Report [ ] 13F Notice [ ] 13F Combination Report List of Other Managers Reporting for Horizon Trust & Investment this Manager: Management Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 137 Form 13F Information Table Value Total: $138,189,048 List of Other Included Managers: Horizon Trust & Investment Management
------------------------------------ Investment Direction (6) ------------------------------------ Name of Issuer (1) Type (2) Cusip (3) Market (4) Shares/PV (5) Sole Shared None ------------------ -------- --------- ---------- ------------- ------------------------------------ Aes Corp., Inc. Equity 00130H105 233216 14264 7579 5597 1088 AOL Time Warner Equity 00184A105 988359 30790 8345 21595 850 A T & T Equity 1957109 220891 12177 3000 5524 3653 Abbott Laboratories Equity 2824100 2465655 44227 21700 19572 2955 ADR Abbey Natl PLC 7.25% Pfd Preferred Stock 2920502 229080 9200 800 5200 3200 Alcoa Inc Com Stk Equity 13817101 277823 7815 3215 3900 700 America Movil - ADR Series L Equity 02364W105 490896 25200 0 0 25200 American Express Company Equity 25816109 365573 10243 0 9938 305 American Gen Cap 1 Gtd 7.875% Pfd Preferred Stock 02638N105 240750 9000 2800 5600 600 American Home Products Equity 26609107 23598749 384595 12040 282532 90023 American International Group Inc Equity 26874107 1537105 19359 6314 11171 1874 Amgen Inc Equity 31162100 769559 13635 4710 8275 650 Amkor Technology, Inc. Equity 31652100 207188 12925 4300 8600 25 Anadarko Petroleum Corp Equity 32511107 346501 6095 2400 3510 185 Atlantic Gulf Communites Corp Equity 48556104 100 20000 0 0 20000 Aura Systems Inc Equity 51526101 7700 17500 0 11500 6000 Avery Dennison Corp Equity 53611109 217923 3855 1450 2405 0 Bac Cap Trust I 7.00% Pfd. Preferred Stock 55187207 251100 10000 1000 8200 800 BP Amoco PLC, ADR's Equity 55622104 1939746 41706 21186 17848 2672 Bank One Cap I 8.00% Pfd Preferred Stock 06421B202 309807 11870 2600 9270 0 Bellsouth Cap Funding 7.375% Pfd Preferred Stock 79857207 263257 10025 2200 7025 800 Bellsouth Corp Equity 79860102 1533706 40202 19075 17519 3608 Berkshire Hathaway Inc Del Cl A Equity 84670108 529200 7 0 6 1 Berkshire Hathaway, Inc. Cl B Equity 84670207 790325 313 49 254 10 Best Buy Inc Equity 86516101 345960 4645 2170 1975 500 Bethlehem Steel Corp Equity 87509105 5583 12407 0 5907 6500 Bluegreen Corp Equity 96231105 156000 78000 0 0 78000 Boeing Company Equity 97023105 266108 6862 650 1702 4510 Bristol Myers Squibb CO. Equity 110122108 770049 15099 4625 6364 4110 Cardinal Health Inc Equity 14149Y108 383822 5936 2075 3361 500 Carnival Corp Equity 143658102 404492 14405 4120 9925 360 Cendant Corp. Equity 151313103 522607 26650 10900 14750 1000 Chase Capital ViI 7.00% Pfd Preferred Stock 16147M200 240982 9480 2680 6800 0 Cisco Systems Inc Equity 17275R102 1784867 98557 31268 62310 4979 Citigroup, Inc. Equity 172967101 1525657 30223 12699 14731 2793 Citizens Communications CO Equity 17453B101 117217 10996 2514 0 8482 Coca-Cola Company Equity 191216100 1153666 24468 5160 15406 3902 Comverse Tech Inc Equity 205862402 458988 20518 8918 11600 0 Concord Efs, Inc. Equity 206197105 580206 17700 8500 9200 0 Conoco Inc Equity 208251504 213693 7551 1471 5880 200 Continental Airlines Cl B Equity 210795308 576620 22000 0 0 22000 Corning Inc Com Equity 219350105 313404 35135 12210 21975 950 DELL Computer Corp Equity 247025109 774630 28500 9060 19170 270 ----------------------------------------------------------- Voting Authority (8) --------------------------------------- Name of Issuer (1) Other Managers (7) Sole Shared Other ------------------ ------------------ --------------------------------------- Aes Corp., Inc. 4270 0 9994 AOL Time Warner 4904 0 25886 A T & T 2000 0 10177 Abbott Laboratories 3450 0 40777 ADR Abbey Natl PLC 7.25% Pfd 0 0 9200 Alcoa Inc Com Stk 335 0 7480 America Movil - ADR Series L 25000 0 200 American Express Company 0 0 10243 American Gen Cap 1 Gtd 7.875% Pfd 800 1000 7200 American Home Products 4210 0 380385 American International Group Inc 2209 0 17150 Amgen Inc 1837 0 11798 Amkor Technology, Inc. 2700 0 10225 Anadarko Petroleum Corp 500 0 5595 Atlantic Gulf Communites Corp 0 0 20000 Aura Systems Inc 0 0 17500 Avery Dennison Corp 0 0 3855 Bac Cap Trust I 7.00% Pfd. 0 0 10000 BP Amoco PLC, ADR's 4486 0 37220 Bank One Cap I 8.00% Pfd 2800 1000 8070 Bellsouth Cap Funding 7.375% Pfd 2000 0 8025 Bellsouth Corp 8217 0 31985 Berkshire Hathaway Inc Del Cl A 1 0 6 Berkshire Hathaway, Inc. Cl B 1 0 312 Best Buy Inc 450 0 4195 Bethlehem Steel Corp 257 0 12150 Bluegreen Corp 0 0 78000 Boeing Company 3384 0 3478 Bristol Myers Squibb CO. 3150 0 11949 Cardinal Health Inc 950 0 4986 Carnival Corp 1917 0 12488 Cendant Corp. 5520 0 21130 Chase Capital ViI 7.00% Pfd 1880 0 7600 Cisco Systems Inc 16210 300 82047 Citigroup, Inc. 6136 0 24087 Citizens Communications CO 0 0 10996 Coca-Cola Company 1750 150 22568 Comverse Tech Inc 3128 0 17390 Concord Efs, Inc. 1600 0 16100 Conoco Inc 0 0 7551 Continental Airlines Cl B 22000 0 0 Corning Inc Com 3828 75 31232 DELL Computer Corp 3036 600 24864
----------------------------------- Investment Direction (6) ----------------------------------- Name of Issuer (1) Type (2) Cusip (3) Market (4) Shares/PV (5) Sole Shared None ------------------ -------- --------- ---------- ------------- ----------------------------------- Disney Equity 254687106 811374 39159 13230 24294 1635 Du Pont DE Nemours Equity 263534109 580091 13646 6751 6101 794 Duff & Phelps Select Utilities Equity 264324104 2859917 258582 79520 161307 17755 Duke Energy 6.60% Pfd Preferred Stock 264399619 304200 11700 3600 7300 800 EMC Corporation Equity 268648102 751860 55942 14975 39095 1872 Epoch Pharmaceuticals Inc Equity 294273107 50000 20000 0 0 20000 Equifax Inc Equity 294429105 241500 10000 0 10000 0 Ericsson Lm Telecom CO Equity 294821400 260243 49855 7200 42240 415 Exxon Mobil Corp Equity 30231G102 1839279 46801 14386 28404 4011 Federal National Mortgage Assoc Equity 313586109 226973 2855 815 1955 85 Fedex Corporation Equity 31428X106 493379 9510 3585 5175 750 Fifth Third Bancorp Equity 316773100 541237 8825 550 6803 1472 Ford Motor CO Equity 345370860 210003 13359 2674 9515 1170 Ford Motor Cred 7.375% Pfd Preferred Stock 345397202 389376 15600 6800 8400 400 Furrs Bishops Inc Equity 361115603 28875 12500 0 0 12500 The Gap Inc Equity 364760108 284376 20400 8250 12150 0 General Electric Company Equity 369604103 3776418 94222 35710 45042 13470 Gillette Company Equity 375766102 204842 6133 3760 1850 523 Harley-Davidson Equity 412822108 554234 10205 3820 6175 210 Hartford Capital II Pfd Ser B 8.35% Preferred Stock 416320208 334721 13309 8615 4294 400 Home Depot Incorporated Equity 437076102 303765 5955 850 4222 883 Honeywell International Inc Equity 438516106 218511 6461 3175 3286 0 Horizon Bancorp Equity 440407104 16118150 714457 408417 137264 168776 Ing Cap Fdg Tr 7.70% Pfd Preferred Stock 4.498E+111 480340 18800 7900 8600 2300 Illinois Tool Works Inc Equity 452308109 462866 6835 185 6150 500 Intel Corp Equity 458140100 3374711 107304 24535 54354 28415 International Business Machines Corp Equity 459200101 720922 5960 695 4865 400 Intimate Brands Inc Class A Equity 461156101 197118 13265 4300 8615 350 Johnson & Johnson Equity 478160104 1480751 25055 9400 12255 3400 1272c Centennial Beverage Corp. Equity 4785 25000 25000 0 0 25000 Kimberly Clark Equity 494368103 1327321 22196 8045 10842 3309 Ladish CO Inc Equity 505754200 343980 31500 0 0 31500 Eli Lilly & Company Equity 532457108 464957 5920 1595 1365 2960 Lincoln National Cap 7.40% Pfd Preferred Stock 53417P209 200400 8000 6400 1600 0 Lincoln National Corporation Equity 534187109 378409 7791 1900 3600 2291 Linear Technology Corp Equity 535678106 322080 8250 2850 5100 300 Lowes Companies Inc Equity 548661107 1427015 30748 10770 19028 950 Lucent Technologies Inc Equity 549463107 338663 53756 11918 38927 2911 MBNA Corporation Equity 55262L100 2727296 77480 34479 41795 1206 Morgan Stanley/Dean Witter 7.10% Pfd Preferred Stock 553538208 293787 11700 6200 5500 0 Malaysia Fund Equity 560905101 78400 20000 4500 0 15500 Marsh & McLennan CO Equity 571748102 299248 2785 1380 1405 0 Masco Corp Equity 574599106 231525 9450 6900 2550 0 ----------------------------------------------------------- Voting Authority (8) --------------------------------------- Name of Issuer (1) Other Managers (7) Sole Shared Other ------------------ ------------------ --------------------------------------- Disney 4372 0 34787 Du Pont DE Nemours 2000 100 11546 Duff & Phelps Select Utilities 49872 335 208375 Duke Energy 6.60% Pfd 1200 0 10500 EMC Corporation 7519 50 48373 Epoch Pharmaceuticals Inc 0 0 20000 Equifax Inc 0 0 10000 Ericsson Lm Telecom CO 11700 0 38155 Exxon Mobil Corp 2050 0 44751 Federal National Mortgage Assoc 0 0 2855 Fedex Corporation 1350 0 8160 Fifth Third Bancorp 300 0 8525 Ford Motor CO 1914 0 11445 Ford Motor Cred 7.375% Pfd 800 0 14800 Furrs Bishops Inc 0 0 12500 The Gap Inc 2400 0 18000 General Electric Company 13446 0 80776 Gillette Company 392 0 5741 Harley-Davidson 824 0 9381 Hartford Capital II Pfd Ser B 8.35% 1800 0 11509 Home Depot Incorporated 400 0 5555 Honeywell International Inc 650 0 5811 Horizon Bancorp 11792 0 702665 Ing Cap Fdg Tr 7.70% Pfd 2200 0 16600 Illinois Tool Works Inc 150 0 6685 Intel Corp 10577 400 96327 International Business Machines Corp 400 0 5560 Intimate Brands Inc Class A 776 0 12489 Johnson & Johnson 2400 0 22655 1272c Centennial Beverage Corp. 25000 0 0 Kimberly Clark 4679 0 17517 Ladish CO Inc 0 0 31500 Eli Lilly & Company 929 0 4991 Lincoln National Cap 7.40% Pfd 1000 0 7000 Lincoln National Corporation 0 0 7791 Linear Technology Corp 2450 0 5800 Lowes Companies Inc 5640 0 25108 Lucent Technologies Inc 7023 150 46583 MBNA Corporation 14356 250 62874 Morgan Stanley/Dean Witter 7.10% Pfd 500 0 11200 Malaysia Fund 0 0 20000 Marsh & McLennan CO 372 0 2413 Masco Corp 0 0 9450
----------------------------------- Investment Direction (6) ----------------------------------- Name of Issuer (1) Type (2) Cusip (3) Market (4) Shares/PV (5) Sole Shared None ------------------ -------- --------- ---------- ------------- ----------------------------------- Mc Donalds Corp Equity 580135101 287147 10848 1200 8808 840 Medtronic Inc Equity 585055106 461709 9016 1750 5265 2001 Merck & CO., Inc Equity 589331107 1497577 25469 6910 13708 4851 Merrill Lynch Capital Trust 8.00% Pfd. Preferred Stock 59021C203 226868 8600 4450 4150 0 Merrill Lynch 7.00% Pfd Preferred Stock 59021F206 253243 10150 1600 8550 0 Microsoft Corporation Equity 594918104 2668616 40281 9460 20545 10276 Millenium Pharmaceuticals Inc Equity 599902103 318017 12975 0 975 12000 Morgan Stanley Dean Witter & CO. Equity 617446448 1222681 21857 8740 12612 505 Motorola Inc Equity 620076109 237016 15780 4500 6846 4434 NTN Communications Inc Equity 629410309 11700 13000 0 0 13000 Nanophase Technologies Corp Equity 630079101 765700 130000 0 0 130000 Nisource Inc Equity 65473P105 361143 15661 0 15611 50 Nokia Corp ADR Preferred Stock 654902204 2027135 82639 30015 48799 3825 Northern Trust Corp Equity 665859104 2052900 34090 7320 17020 9750 Oklahoma Gas & Electric Cap Tr 8.375% Preferred Stock 67084C200 296835 11155 2000 8580 575 Pepsico Inc Equity 713448108 331092 6800 1500 2900 2400 Pfizer Inc. Equity 717081103 1058615 26565 6509 14896 5160 Philip Morris Companies, Inc Equity 718154107 1280315 27924 13370 11725 2829 Potomac Electric Power 7.375% Pfd Preferred Stock 73767N208 219208 8800 8000 800 0 Procter & Gamble CO Equity 742718109 244986 3096 600 1523 973 Royal Dutch Petroleum Equity 780257804 220590 4500 3500 700 300 Royal Oak Mines Inc Equity 7.805E+109 30 10000 0 0 10000 SBC Communications Equity 78387G103 1964650 50157 22458 21347 6352 Sara Lee Corp Equity 803111103 471054 21190 12450 8540 200 Schering Plough Corporation Equity 806605101 734105 20500 13500 7000 0 Schlumberger Ltd Equity 806857108 853538 15533 5845 9035 653 Charles Schwab Corp Equity 808513105 253708 16400 6600 9700 100 Solectron Corp Equity 834182107 495248 43905 16950 26265 690 Southwest Airlines CO Equity 844741108 283169 15323 4650 10548 125 Stilwill Financial Inc Equity 860831106 224565 8250 0 8250 0 Sun Microsystems Equity 866810104 1501092 122040 40870 74950 6220 TELEPHONE & DATA 7.60% PFD Preferred Stock 879433878 412460 16400 7100 9300 0 Tellabs Inc Equity 879664100 549481 36730 11810 23860 1060 Teradyne Inc. Equity 880770102 732703 24310 8460 14975 875 Texas Instruments Inc Equity 882508104 214480 7660 1200 4600 1860 Thai Fund, Inc. Equity 882904105 34366 10414 0 0 10414 Tyco International Ltd. Equity 902124106 1698676 28840 7170 20535 1135 Ultralife Batteries Inc Equity 903899102 44900 10000 0 0 10000 Vectren Corp Equity 92240G101 362218 15105 11193 3912 0 Veritas Software Corp Equity 923436109 209132 4665 1645 3020 0 Verizon Communications Equity 92343V104 767855 16179 7304 5497 3378 ADR Vodafone Group PLC Sponsored Equity 92857W100 223801 8715 3890 3828 998 Wisconsin Energy 6.85 Pfd Preferred Stock 92923G204 203820 8600 3400 3400 1800 ----------------------------------------------------------- Voting Authority (8) --------------------------------------- Name of Issuer (1) Other Managers (7) Sole Shared Other ------------------ ------------------ --------------------------------------- Mc Donalds Corp 4200 0 6648 Medtronic Inc 520 0 8496 Merck & CO., Inc 3064 50 22355 Merrill Lynch Capital Trust 8.00% Pfd. 2150 0 6450 Merrill Lynch 7.00% Pfd 750 0 9400 Microsoft Corporation 3412 0 36869 Millenium Pharmaceuticals Inc 12000 0 975 Morgan Stanley Dean Witter & CO. 2765 0 19092 Motorola Inc 2043 0 13737 NTN Communications Inc 0 0 13000 Nanophase Technologies Corp 0 0 130000 Nisource Inc 0 0 15661 Nokia Corp ADR 10047 325 72267 Northern Trust Corp 3003 200 30887 Oklahoma Gas & Electric Cap Tr 8.375% 1400 1000 8755 Pepsico Inc 3100 0 3700 Pfizer Inc. 2372 0 24193 Philip Morris Companies, Inc 2050 0 25874 Potomac Electric Power 7.375% Pfd 0 0 8800 Procter & Gamble CO 623 0 2473 Royal Dutch Petroleum 0 0 4500 Royal Oak Mines Inc 0 0 10000 SBC Communications 8717 0 41440 Sara Lee Corp 3250 0 17940 Schering Plough Corporation 4500 0 16000 Schlumberger Ltd 1746 0 13787 Charles Schwab Corp 1850 0 14550 Solectron Corp 6944 150 36811 Southwest Airlines CO 4831 0 10492 Stilwill Financial Inc 8250 0 0 Sun Microsystems 17320 100 104620 TELEPHONE & DATA 7.60% PFD 1300 0 15100 Tellabs Inc 3739 100 32891 Teradyne Inc. 1666 0 22644 Texas Instruments Inc 1475 0 6185 Thai Fund, Inc. 0 0 10414 Tyco International Ltd. 3765 0 25075 Ultralife Batteries Inc 0 0 10000 Vectren Corp 2997 0 12108 Veritas Software Corp 747 0 3918 Verizon Communications 1432 0 14747 ADR Vodafone Group PLC Sponsored 1458 0 7257 Wisconsin Energy 6.85 Pfd 400 0 8200
------------------------------------ Investment Direction (6) ------------------------------------ Name of Issuer (1) Type (2) Cusip (3) Market (4) Shares/PV (5) Sole Shared None ------------------ -------- --------- ---------- ------------- ------------------------------------ Wal-Mart Stores Inc Equity 931142103 586607 10193 1325 7938 930 Walgreen CO Equity 931422109 6495942 192987 17500 168870 6617 Wellpoint Health Networks Inc Class A Equity 94973H108 412481 3530 1330 2200 0 Wells Fargo & CO New Equity 949746101 615753 14165 100 12089 1976 Williams Companies Inc Equity 969457100 246829 9672 2400 6672 600 Worldcom Inc - Worldcom Group Equity 9.816E+110 853755 60636 13570 42057 5009 Customation, Inc Equity CUST 500000 520 520 0 0 China Enterprises LTD Equity G2109M100 10200 10000 0 0 10000 Sport Service, Inc. Common Stock Equity SPORT 5222464 464219 464219 0 0 ----------------------------------------------------------------- $138,189,048 4,951,450 1,813,301 2,179,921 958,229 ================================================================= ----------------------------------------------------------- Voting Authority (8) --------------------------------------- Name of Issuer (1) Other Managers (7) Sole Shared Other ------------------ ------------------ --------------------------------------- Wal-Mart Stores Inc 1725 0 8468 Walgreen CO 5386 0 187601 Wellpoint Health Networks Inc Class A 452 50 3028 Wells Fargo & CO New 4204 0 9961 Williams Companies Inc 3714 0 5958 Worldcom Inc - Worldcom Group 8755 200 51681 Customation, Inc 0 0 520 China Enterprises LTD 0 0 10000 Sport Service, Inc. Common Stock 464219 0 0 --------------------------------------- 956,490 6,585 3,988,375 =======================================
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