SEC Form 5 · accession 0000920112-19-000004
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
Dec 28, 2018
Accepted (ET)
Jan 9, 2019 · 11:35 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 Stock | Dec 28, 2018 | G | 656 | $0.00 | D | 15,697 | I | Wife's Trust |
| Common Stock | Dec 31, 2018 | G | 656 | $0.00 | D | 15,041 | I | Wife's Trust |
| Common StockF1 | holding | — | — | — | 35,043 | D | ||
| Common Stock | holding | — | — | — | 15,081 | 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)F2,F3,F4 | — | holding | — | — | — | — | — | Common Stock | 460 | 0 | D |
| 2018 Director Restricted Stock UnitsF2,F3 | — | holding | — | — | — | — | — | Common Stock | 1,235 | 0 | D |
Explanation of responses
- F1These shares participate in a Dividend Reinvestment Plan.
- F2Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- F3These restricted stock units are granted under the 2012 Long-term Incentive Plan and are subject to a one (1) year vesting schedule.
- F4HTLF Directors may elect RSUs or cash for the retainer portion of their Director Compensation