SEC Form 4 · accession 0000920112-17-000207
HEARTLAND FINANCIAL USA INC · HTLF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John W Cox Jr.
Director
Period of report
May 22, 2017
Accepted (ET)
May 23, 2017 · 12:14 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 22, 2017 | M | 175 | $45.25 | A | 7,909 | D | |
| Common StockF1 | holding | — | — | — | 7,734 | D | ||
| Common StockF1,F2 | holding | — | — | — | 20,911 | I | Control Shareholder | |
| Common StockF1,F3 | holding | — | — | — | 0 | I | Conrol Shareholder |
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 UnitF4,F5 | — | May 22, 2017 | F | 175 | D | — | — | Common Stock | 0 | 0 | D |
| 2017 Director Restricted Stock UnitF4,F5 | — | May 22, 2017 | A | 125 | A | — | — | Common Stock | 1,035 | 0 | D |
| 2016 Director Restricted Stock UnitF4,F5 | — | holding | — | — | — | — | — | Common Stock | 175 | 0 | D |
| 2017 Director Restricted Stock UnitF4,F5 | — | holding | — | — | — | — | — | Common Stock | 910 | 0 | D |
Explanation of responses
- F1These shares participate in a Dividend Reinvestment Plan.
- F2These shares are held by John W. Cox Jr. Inc. Reporting person is managing, controlling shareholder.
- F3These shares are held by McJoyce, Inc. Reporting person is managing, controlling shareholder.
- F4Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- F5These restricted stock units are granted under the 2012 Long-term Incentive Plan. These shares are subject to a one (1) year vesting schedule.