SEC Form 4 · accession 0000920112-17-000192
HEARTLAND FINANCIAL USA INC · HTLF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James F Conlan
Director
Period of report
May 16, 2017
Accepted (ET)
May 18, 2017 · 11:45 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 | May 16, 2017 | M | 180 | $47.30 | A | 4,708 | I | Trust |
| Common StockF1 | May 17, 2017 | M | 1,295 | $45.20 | A | 6,003 | I | Trust |
| Common StockF1 | holding | — | — | — | 4,528 | I | Trust | |
| Common StockF2 | holding | — | — | — | 225,602 | I | Spouse's Trust | |
| Common StockF3 | holding | — | — | — | 68,699 | I | Trust | |
| Common StockF4 | holding | — | — | — | 68,699 | I | Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2016 Director Restricted Stock UnitF5,F6 | — | May 16, 2017 | F | 180 | D | — | — | Common Stock | 1,295 | — | D |
| 2016 Director Restricted Stock UnitF5,F6 | — | May 17, 2017 | F | 1,295 | D | — | — | Common Stock | 0 | — | D |
| 2017 Director Restricted Stock UnitF5,F6 | — | May 17, 2017 | A | 125 | A | — | — | Common Stock | 125 | 125 | D |
| 2016 Director Restricted Stock UnitF5,F6 | — | holding | — | — | — | — | — | Common Stock | 1,475 | — | D |
| 2017 Director Restricted Stock UnitF5,F6 | — | holding | — | — | — | — | — | Common Stock | 0 | 0 | D |
Explanation of responses
- F1These shares are held by James F. Conlan Trustee UA Dtd 4-13-04 James F. Conlan Trust.
- F2These shares are held by Mary Fuller Conlan Trustee UA Dtd 4-13-04 Mary Fuller Conlan Trust.
- F3These shares are held by Mary L. Conlan Trustee UA Dtd 12-31-12 Bridget Fuller Conlan Trust.
- F4These shares are held by Mary L. Conlan Trustee UA Dtd 12/31/12 Camille Fuller Conlan Trust.
- F5Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- F6These restricted Stock Units are granted under the 2012 Long-term Incentive Plan. These shares are subject to a one (1) year vesting schedule.