SEC Form 4 · accession 0000920112-17-000193
HEARTLAND FINANCIAL USA INC · HTLF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John K Schmidt
Director
Period of report
May 16, 2017
Accepted (ET)
May 18, 2017 · 11:46 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 | 124,371 | D | |
| Common StockF1 | May 17, 2017 | M | 1,295 | $45.20 | A | 125,666 | D | |
| Common StockF1 | holding | — | — | — | 124,191 | D | ||
| Common Stock | holding | — | — | — | 12,677 | I | by Spouse | |
| Common StockF2 | holding | — | — | — | 5,806 | I | Minor Child | |
| Common Stock | holding | — | — | — | 4,780 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2016 Director Restricted Stock UnitF3,F4 | — | May 16, 2017 | F | 180 | D | — | — | Common Stock | 1,295 | — | D |
| 2016 Director Restricted Stock UnitF3,F4 | — | May 17, 2017 | F | 1,295 | D | — | — | Common Stock | 0 | — | D |
| 2017 Director Restricted Stock UnitF3,F4 | — | May 16, 2017 | A | 125 | A | — | — | Common Stock | 125 | 125 | D |
| 2017 Director Restricted Stock UnitF3,F4 | — | May 17, 2017 | A | 910 | A | — | — | Common Stock | 910 | 1,035 | D |
| 2016 Director Restricted Stock UnitF3,F4 | — | holding | — | — | — | — | — | Common Stock | 1,475 | — | D |
| 2017 Director Restricted Stock UnitF3,F4 | — | holding | — | — | — | — | — | Common Stock | 0 | 0 | D |
Explanation of responses
- F1Of these shares 2,506 are held as JTWROS and 1,000 are held in Jt. Ten.
- F2Shares held as Donna L. Schmidt Cust for Benjamin N. Schmidt.
- F3Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- F4These restricted stock units are granted under the 2012 Long-term Incentive Plan. These shares are subject to a one (1) year vesting schedule.