SEC Form 4/A · accession 0000920112-16-000371
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
Kurt Saylor
Director
Period of report
May 2, 2016
Accepted (ET)
Jul 21, 2016 · 4:46 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 | May 2, 2016 | S | 3,550 | $33.47 | D | 438,449 | I | Trust |
| Common StockF1,F3 | May 2, 2016 | S | 1,450 | $33.47 | D | 178,998 | I | Wife's Trust |
| Common StockF1,F2 | May 2, 2016 | S | 5,325 | $33.61 | D | 433,124 | I | Trust |
| Common StockF1,F3 | May 2, 2016 | S | 2,175 | $33.61 | D | 176,823 | I | Wife's Trust |
| Common StockF1,F2 | May 9, 2016 | S | 400 | $33.66 | D | 432,724 | I | Trust |
| Common StockF1,F3 | May 9, 2016 | S | 400 | $33.66 | D | 176,423 | I | Wife's Trust |
| Common StockF1,F2 | May 9, 2016 | S | 3,550 | $33.83 | D | 429,174 | I | Trust |
| Common StockF1,F3 | May 9, 2016 | S | 1,450 | $33.83 | D | 174,973 | I | Wife's Trust |
| Common StockF1,F2 | May 10, 2016 | S | 4,925 | $33.85 | D | 424,249 | I | Trust |
| Common StockF1,F3 | May 10, 2016 | S | 1,775 | $33.85 | D | 173,198 | I | Wife's Trust |
| Common StockF1,F2 | May 16, 2016 | S | 5,325 | $33.68 | D | 418,924 | I | Trust |
| Common StockF1,F3 | May 16, 2016 | S | 2,175 | $33.68 | D | 171,023 | I | Wife's Trust |
| Common StockF1,F2 | May 16, 2016 | S | 3,550 | $33.82 | D | 415,374 | I | Trust |
| Common StockF1,F3 | May 16, 2016 | S | 1,450 | $33.82 | D | 169,573 | I | Wife's Trust |
| Common StockF1,F2 | May 23, 2016 | S | 5,325 | $33.86 | D | 410,049 | I | Trust |
| Common StockF1,F3 | May 23, 2016 | S | 2,175 | $33.86 | D | 167,398 | I | Wife's Trust |
| Common StockF1,F2 | May 23, 2016 | S | 1,562 | $33.85 | D | 408,487 | I | Trust |
| Common StockF1,F3 | May 23, 2016 | S | 638 | $33.85 | D | 166,760 | I | Wife's Trust |
| Common StockF1,F2 | May 24, 2016 | S | 1,988 | $33.98 | D | 406,499 | I | Trust |
| Common StockF1,F3 | May 24, 2016 | S | 812 | $33.98 | D | 165,948 | I | Wife's Trust |
| Common StockF1,F2 | May 25, 2016 | S | 1,065 | $34.95 | D | 405,434 | I | Trust |
| Common StockF1,F3 | May 25, 2016 | S | 435 | $34.95 | D | 165,513 | I | Wife's Trust |
| Common StockF1,F2 | May 26, 2016 | S | 2,053 | $34.95 | D | 403,381 | I | Trust |
| Common StockF1,F3 | May 26, 2016 | S | 1,063 | $34.94 | D | 164,450 | I | Wife's Trust |
| Common StockF1,F2 | May 27, 2016 | S | 3,547 | $34.95 | D | 399,834 | I | Trust |
| Common StockF1,F3 | May 27, 2016 | S | 1,837 | $34.95 | D | 162,613 | I | Wife's Trust |
| Common StockF1,F2 | May 31, 2016 | S | 7,100 | $35.08 | D | 392,734 | I | Trust |
| Common StockF1,F3 | May 31, 2016 | S | 2,900 | $35.08 | D | 159,713 | I | Wife's Trust |
| Common StockF1,F2 | May 31, 2016 | S | 2,486 | $35.07 | D | 390,248 | I | Trust |
| Common StockF1,F3 | May 31, 2016 | S | 1,015 | $35.07 | D | 158,698 | I | Wife's Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2014 Time-Based Restricted StockF4,F5 | — | holding | — | — | — | — | — | Common Stock | 1,075 | — | D |
| 2014 Performance Based Restricted StockF4,F6 | — | holding | — | — | — | — | — | Common Stock | 1,030 | — | D |
| 2015 Time-Based Restricted StockF4,F7 | — | holding | — | — | — | — | — | Common Stock | 1,350 | — | D |
| 2015 Performance Based Restricted StockF4,F8 | — | holding | — | — | — | — | — | Common Stock | 995 | — | D |
| 2016 Time-Based Restricted StockF4,F9 | — | holding | — | — | — | — | — | Common Stock | 1,000 | — | D |
| 2016 Performance Based Restricted Stock (1-year performance)F4,F10 | — | holding | — | — | — | — | — | Common Stock | 1,000 | — | D |
Explanation of responses
- F1Shares sold pursuant to 10b5-1 Plan effective April 27, 2016
- F10These restricted stock units vest on 1-19-2019 if certain performance measures are achieved by the Issuer.
- F2Shares held by Kurt M. Saylor Trust dated 1/6/1998 for which the Reporting Person acts as trustee.
- F3Shares held by Melissa J. Saylor Trust dated 1/6/1998 for which the Reporting Person's wife acts as trustee.
- F4Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- F5Of these restricted stock units, 1/3 vest on 3-11-2017, 1/3 vest on 3-11-2018, and 1/3 vest on 3-11-2019.
- F6These restricted stock units vest on 12-31-2016 if certain performance measures are achieved by the Issuer.
- F7Of these restricted stock units, 1/3 vest on 1-20-2018, 1/3 vest on 1-20-2019, and 1/3 vest on 1-20-2020.
- F8These restricted stock units vest on 12-31-2017 if certain performance measures are achieved by the Issuer.
- F9Of these restricted stock units, 1/3 vest on 1-19-2017, 1/3 vest on 1-19-2018, and 1/3 vest on 1-19-2019.
Remarks
This report is the first of two Form 4/A report filings reflecting sales of the Issuer's common stock by the Reporting Person made from 5-2-2016 through 6-14-2016.