SEC Form 4 · accession 0000920112-18-000208
HEARTLAND FINANCIAL USA INC · HTLF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Martin J Schmitz
Director
Period of report
Jul 7, 2018
Accepted (ET)
Jul 9, 2018 · 9:42 am 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 | Jul 7, 2018 | M | 632 | $56.75 | A | 68,637 | D | |
| Common Stock | holding | — | — | — | 68,005 | D | ||
| Common Stock | holding | — | — | — | 242,793 | I | controlling member |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2017 Time-Based Restricted StockF1,F2 | — | Jul 7, 2018 | M | 632 | D | — | — | Common Stock | 632 | 0 | D |
| 2018 Director Restricted Stock UnitsF1,F2 | — | holding | — | — | — | — | — | Common Stock | 1,235 | 0 | D |
| 2017 Time-Based Restricted StockF1,F2,F3 | — | holding | — | — | — | — | — | Common Stock | 632 | 0 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- F2These restricted stock units are granted under the 2012 Long-term Incentive Plan and are subject to a one (1) year vesting schedule.
- F3These restricted stock units were granted as part of a consulting agreement prior to appointment to the HTLF Board Directors.