SEC Form 4 · accession 0000920112-18-000099
HEARTLAND FINANCIAL USA INC · HTLF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Deborah K Deters
Officer — EVP, Chief HR Officer
Period of report
Mar 13, 2018
Accepted (ET)
Mar 15, 2018 · 5:26 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 Stock | holding | — | — | — | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2018 Time-Based Restricted StockF1,F2 | — | Mar 13, 2018 | A | 571 | A | — | — | Common Stock | 571 | 0 | D |
| 2018 Performance Based Restricted Stock (3-year performance)F1,F3 | — | Mar 13, 2018 | A | 761 | A | — | — | Common Stock | 761 | 0 | D |
| 2018 Performance Based Restricted Stock (1-year performance)F1,F4 | — | Mar 13, 2018 | A | 571 | A | — | — | Common Stock | 571 | 0 | D |
| 2018 Time-Based Restricted StockF1,F2 | — | holding | — | — | — | — | — | Common Stock | 0 | 0 | D |
| 2018 Performance Based Restricted Stock (3-year performance)F1,F3 | — | holding | — | — | — | — | — | Common Stock | 0 | 0 | D |
| 2018 Performance Based Restricted Stock (1-year performance)F1,F4 | — | holding | — | — | — | — | — | Common Stock | 0 | 0 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- F2Of these restricted stock units, 1/3 vest on 3-6-2019, 1/3 vest on 3-6-2020, and 1/3 vest on 3-6-2021.
- F3These restricted stock units vest in 2021 if certain performance measures are achieved by the Issuer.
- F4These restricted stock units vest on 3-6-2021 if certain performance measures are achieved by the Issuer.