SEC Form 4 · accession 0000920112-16-000278
HEARTLAND FINANCIAL USA INC · HTLF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Janet M Quick
Officer — EVP, Principal Acctg Officer
Period of report
Feb 3, 2016
Accepted (ET)
Feb 12, 2016 · 12:04 pm EST
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 | Feb 3, 2016 | M | 1,500 | $21.60 | A | 0 | D | |
| Common StockF2 | Feb 3, 2016 | F | 1,263 | $29.10 | D | 10,853 | D | |
| Common Stock | holding | — | — | — | 414 | I | IRA | |
| Common Stock | holding | — | — | — | 265 | I | Pension Plan | |
| Common Stock | holding | — | — | — | 654 | I | 401 (k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (Right To Buy)F3 | $21.60 | Feb 3, 2016 | M | 1,500 | D | — | Feb 6, 2016 | Common Stock | 1,500 | 0 | D |
| Non-Qualified Stock Option (Right To Buy)F3 | $29.65 | holding | — | — | — | — | Jan 16, 2017 | Common Stock | 1,500 | 1,500 | D |
Explanation of responses
- F1Multi line entry....see next line for total.
- F2Includes 3,075 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.
- F3Represents options to buy granted under the Company's Stock Option Plan, a Rule 16(b)(3) plan, which options vest one-third per year beginning on the 3rd anniversary of date of grant.