SEC Form 4 · accession 0000920112-16-000359
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
Andrew E Townsend
Officer — EVP, Chief Credit Officer
Period of report
Jun 8, 2016
Accepted (ET)
Jun 23, 2016 · 11:59 am 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 | Jun 8, 2016 | M | 1,000 | $29.65 | A | 0 | D | |
| Common StockF2,F3,F4,F5 | Jun 8, 2016 | F | 885 | $35.74 | D | 30,160 | D | |
| Common Stock | holding | — | — | — | 1,163 | 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)F6 | $29.65 | Jun 8, 2016 | M | 1,000 | D | — | Jan 16, 2017 | Common Stock | 1,000 | 0 | D |
| Non-Qualified Stock Option (Right To Buy)F6 | $18.60 | holding | — | — | — | — | Jan 24, 2018 | Common Stock | 1,000 | 1,000 | D |
Explanation of responses
- F1Multi line entry....see next line for total.
- F2These shares are held jointly with reporting person's spouse.
- F3These shares participate in a Dividend Reinvestment Plan.
- F4Includes 7,297 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.
- F5Includes 2,369 shares of Performance Based Restricted Stock.
- F6Represents 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.