SEC Form 4 · accession 0000920112-17-000200
HEARTLAND FINANCIAL USA INC · HTLF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Duane E White
Director
Period of report
May 17, 2017
Accepted (ET)
May 19, 2017 · 2:07 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 | May 17, 2017 | M | 1,295 | $45.20 | A | 5,124 | D | |
| Common StockF1 | holding | — | — | — | 3,829 | D | ||
| Common StockF2 | holding | — | — | — | 13,765 | 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 UnitF3,F4 | — | May 17, 2017 | F | 1,295 | D | — | — | Common Stock | 0 | 0 | D |
| 2017 Director Restricted Stock UnitF3,F4 | — | May 17, 2017 | A | 910 | A | — | — | Common Stock | 1,035 | 1,035 | D |
| 2016 Director Restricted Stock UnitF3,F4 | — | holding | — | — | — | — | — | Common Stock | 1,295 | 1,295 | D |
| 2017 Director Restricted Stock UnitF3,F4 | — | holding | — | — | — | — | — | Common Stock | 125 | 125 | D |
Explanation of responses
- F1Of these shares 2,479 are held in an IRA
- F2Shares held as Private Trust Company, custodian Duane E White IRA
- 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 and are subject to a one (1) year vesting schedule.