SEC Form 4 · accession 0000920112-18-000269
HEARTLAND FINANCIAL USA INC · HTLF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
R Michael McCoy
Director
Period of report
Nov 5, 2018
Accepted (ET)
Nov 7, 2018 · 11:31 am EST
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 | Nov 5, 2018 | P | 3,544 | $54.0073 | A | 49,008 | D | |
| Common StockF1,F2 | holding | — | — | — | 45,464 | 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 Units (retainer)F3,F4,F5 | — | holding | — | — | — | — | — | Common Stock | 460 | 0 | D |
| 2018 Director Restricted Stock UnitsF3,F4 | — | holding | — | — | — | — | — | Common Stock | 1,235 | 0 | D |
Explanation of responses
- F1Of these shares 31,036.2098 are held in Jt. Ten.
- F2These shares participate in a Dividend Reinvestment Plan.
- 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