SEC Form 3/A · accession 0000920112-15-000168
HEARTLAND FINANCIAL USA INC · HTLF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 3/A). It replaces an earlier filing for the same period.
Reporting owner
David L Horstmann
Officer — EVP - Finance/Corp Stategy
Period of report
Jul 21, 2015
Accepted (ET)
Aug 7, 2015 · 3:57 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000920112
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | holding | — | — | — | 2,200 | D | ||
| Common StockF3 | holding | — | — | — | 1,066 | I | Trust | |
| Common StockF3 | holding | — | — | — | 5,000 | I | IRA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 1,550 Restricted Stock Units (RSU). Each RSU represents the right to receive one share of common stock. The grant vests in three equal installments on the third, fourth and fifth anniversaries of the grant date.
- F2Includes 650 shares of Performance Based Restricted Stock.
- F3Shares held through the Wealth Management Group at Dubuque Bank & Trust.
Remarks
Mr. Horstmann previously served as Interim CFO and filed reports under Section 16. When a permanent CFO was appointed, Mr. Horstmann assumed a previous role where he was not in charge of a business unit, division or function, and did not have policy-making authority. On July 21, 2015, the Board of Directors of Heartland determined that Heartland's increased activities in acquisition and the increased authority that they were assigning Mr. Horstmann caused him to again be an "Officer" as defined in Rule 16a-1(f).