SEC Form 4 · accession 0000920112-16-000304
HEARTLAND FINANCIAL USA INC · HTLF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Frank E Walter
Officer — EVP Commercial Banking
Period of report
Mar 8, 2016
Accepted (ET)
Mar 9, 2016 · 1:06 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,F2,F3,F4,F5 | Mar 8, 2016 | A | 1,725 | $0.00 | A | 22,614 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 5,517 Time Based Restricted Stock Units (RSU). Each RSU represents the right to receive one share of common stock.
- F2Includes 3,839 shares of Performance Based Restricted Stock.
- F3Includes 3,700 shares held in street name at LPL Financial.
- F4These shares are registered as Frank Walter & Jean Walter Jt Ten
- F5Reflects the forfeiture of 397 Performance Based Restricted Stock Units granted but not earned in 2015.