SEC Form 4 · accession 0000920112-17-000194
HEARTLAND FINANCIAL USA INC · HTLF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark C Falb
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 | 37,238 | I | As Trustee |
| Common StockF1 | May 17, 2017 | M | 1,560 | $45.20 | A | 38,798 | I | As Trustee |
| Common StockF1 | holding | — | — | — | 37,058 | I | As Trustee | |
| Common StockF2 | holding | — | — | — | 68,856 | I | Spouse, 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 UnitF3,F4 | — | May 16, 2017 | F | 180 | D | — | — | Common Stock | 1,560 | — | D |
| 2016 Director Restricted Stock UnitF3,F4 | — | May 17, 2017 | F | 1,560 | D | — | — | Common Stock | 0 | — | D |
| 2017 Director Restricted Stock UnitF3,F4 | — | May 16, 2017 | A | 125 | A | — | — | Common Stock | 125 | 0 | D |
| 2017 Director Restricted Stock UnitF3,F4 | — | May 17, 2017 | A | 1,095 | A | — | — | Common Stock | 1,095 | 0 | D |
| 2016 Director Restricted Stock UnitF3,F4 | — | holding | — | — | — | — | — | Common Stock | 1,740 | — | D |
| 2017 Director Restricted Stock UnitF3,F4 | — | holding | — | — | — | — | — | Common Stock | 0 | 0 | D |
Explanation of responses
- F1These shares area held by Mark C. Falb Revocable Trust, Mark C. Falb Trustee
- F2These shares are held by Cheryl A. Falb Revocable Trust, Cheryl A. Falb Trustee
- 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.