SEC Form 4 · accession 0000920112-18-000169
HEARTLAND FINANCIAL USA INC · HTLF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kurt Saylor
Director
Period of report
May 16, 2018
Accepted (ET)
May 18, 2018 · 5:46 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 | holding | — | — | — | 143,833 | I | Trust | |
| Common StockF2 | holding | — | — | — | 57,763 | I | Wife's Trust | |
| 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 Director Restricted Stock UnitsF3,F4 | — | May 16, 2018 | A | 0 | A | — | — | Common Stock | 1,110 | 0 | D |
| 2018 Director Restricted Stock UnitsF3,F4,F5 | — | May 16, 2018 | A | 0 | A | — | — | Common Stock | 460 | 0 | D |
| 2018 Director Restricted Stock UnitsF3,F4 | — | May 17, 2018 | A | 0 | A | — | — | Common Stock | 125 | 0 | D |
| 2017 Director Restricted Stock UnitF3,F4 | — | holding | — | — | — | — | — | Common Stock | 1,035 | 0 | D |
| 2018 Director Restricted Stock UnitsF3,F4 | — | holding | — | — | — | — | — | Common Stock | 0 | 0 | D |
Explanation of responses
- F1These shares are held by Kurt M. Saylor Trust dated 1-6-1998 for which Reporting Person acts as trustee.
- F2These shares are held by Melissa J. Saylor Trust dated 1-6-1998 for which Reporting Person's wife acts as 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 and are subject to a one (1) year vesting schedule.
- F5HTLF Directors may elect RSUs or cash for the retainer portion of their Director Compensation