SEC Form 4/A · accession 0000920112-16-000361
HEARTLAND FINANCIAL USA INC · HTLF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Andrew E Townsend
Officer — EVP, Chief Credit Officer
Period of report
Jun 8, 2016
Accepted (ET)
Jun 29, 2016 · 11:35 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,F2,F3,F4,F5 | Jun 8, 2016 | F | 885 | $35.74 | D | 29,756 | D |
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
- F1These shares are held jointly with reporting person's spouse.
- F2These shares participate in a Dividend Reinvestment Plan.
- F3Includes 5,297 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.
- F4Includes 3,965 shares of Performance Based Restricted Stock.
- F5Adjusted the total amount of securities owned; The number of Time-Based & Performance Based restricted stock units originally reported on the reporting person's Form 4 filed on 3/8/2016 were incorrectly reported due to an administrative error. Footnotes have been updated accordingly.
- 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.