SEC Form 4 · accession 0000920112-18-000246

HEARTLAND FINANCIAL USA INC · HTLF

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Sep 17, 2018

Accepted (ET)

Sep 18, 2018 · 9:35 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^F2,F1	Sep 17, 2018	S	3,550	$60.5455	D	137,768	I	Trust
Common Stock^F2,F3	Sep 17, 2018	S	1,450	$60.5455	D	54,863	I	Wife's Trust
Common Stock	holding	—	—		—	0	D
Common Stock^F1	holding	—	—		—	141,318	I	Trust
Common Stock^F3	holding	—	—		—	56,313	I	Wife's Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
2017 Director Restricted Stock Unit^F4,F5	—	holding	—	—	—	—	—	Common Stock	1,035	D
2018 Director Restricted Stock Units (retainer)^F4,F5,F6	—	holding	—	—	—	—	—	Common Stock	460	D
2018 Director Restricted Stock Units^F4,F5	—	holding	—	—	—	—	—	Common Stock	1,235	D

F1These shares are held by Kurt M. Saylor Trust dated 1-6-1998 for which Reporting Person acts as trustee.
F2Shares sold pursuant to 10b5-1 Plan effective September 10, 2018
F3These shares are held by Melissa J. Saylor Trust dated 1-6-1998 for which Reporting Person's wife acts as trustee.
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 and are subject to a one (1) year vesting schedule.
F6HTLF Directors may elect RSUs or cash for the retainer portion of their Director Compensation