SEC Form 4 · accession 0000920112-18-000200
HEARTLAND FINANCIAL USA INC · HTLF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas L Flynn
Director
Period of report
Jun 5, 2018
Accepted (ET)
Jun 6, 2018 · 12:43 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,F2 | Jun 5, 2018 | M | 1,220 | $56.45 | A | 37,391 | D | |
| Common Stock | holding | — | — | — | 29,342 | D | ||
| Common StockF1,F2 | holding | — | — | — | 36,171 | D | ||
| Common StockF3 | holding | — | — | — | 10,178 | I | IRA | |
| Common Stock | holding | — | — | — | 2,986 | I | IRA, Wife |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2017 Director Restricted Stock UnitF4,F5 | — | Jun 5, 2018 | M | 1,220 | D | — | — | Common Stock | 0 | 1,220 | D |
| 2017 Director Restricted Stock UnitF4,F5 | — | holding | — | — | — | — | — | Common Stock | 1,220 | 0 | D |
| 2018 Director Restricted Stock Units (retainer)F4,F5,F6 | — | holding | — | — | — | — | — | Common Stock | 460 | 0 | D |
| 2018 Director Restricted Stock UnitsF4,F5 | — | holding | — | — | — | — | — | Common Stock | 1,425 | 0 | D |
Explanation of responses
- F1These shares participate in a Dividend Reinvestment Plan.
- F2These shares are held as Jt. Ten.
- F3Self directed IRA Trust
- 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.
- F6HTLF Directors may elect RSUs or cash for the retainer portion of their Director Compensation