SEC Form 4 · accession 0000920112-18-000279
HEARTLAND FINANCIAL USA INC · HTLF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kurt Saylor
Director
Period of report
Dec 3, 2018
Accepted (ET)
Dec 4, 2018 · 10:56 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 StockF2,F1 | Dec 3, 2018 | S | 2,150 | $54.2478 | D | 119,712 | I | Trust |
| Common StockF2,F1 | Dec 3, 2018 | S | 1,430 | $54.4428 | D | 118,282 | I | Trust |
| Common StockF2,F1 | Dec 3, 2018 | S | 162 | $55.00 | D | 118,120 | I | Trust |
| Common StockF2,F3 | Dec 3, 2018 | S | 850 | $54.2478 | D | 47,659 | I | Wife's Trust |
| Common StockF2,F3 | Dec 3, 2018 | S | 570 | $54.4428 | D | 47,089 | I | Wife's Trust |
| Common StockF2,F3 | Dec 3, 2018 | S | 64 | $55.00 | D | 47,025 | I | Wife's Trust |
| Common Stock | holding | — | — | — | 0 | D | ||
| Common StockF1 | holding | — | — | — | 121,862 | I | Trust | |
| Common StockF3 | holding | — | — | — | 48,509 | I | Wife's Trust |
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)F4,F5,F6 | — | holding | — | — | — | — | — | Common Stock | 460 | 0 | D |
| 2018 Director Restricted Stock UnitsF4,F5 | — | holding | — | — | — | — | — | Common Stock | 1,235 | 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.
- F2Shares sold pursuant to 10b5-1 Plan effective November 12, 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