SEC Form 4 · accession 0000920112-19-000030
HEARTLAND FINANCIAL USA INC · HTLF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian Fox
Officer — EVP, Operations
Period of report
Jan 22, 2019
Accepted (ET)
Jan 24, 2019 · 7:52 pm 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 StockF4,F2,F3 | Jan 22, 2019 | A | 467 | $41.77 | A | 12,552 | I | Trust |
| Common StockF2,F3 | Jan 22, 2019 | M | 942 | $47.54 | A | 13,494 | I | Trust |
| Common StockF2,F3 | Jan 22, 2019 | M | 391 | $47.54 | A | 13,885 | I | Trust |
| Common StockF2,F3 | Jan 22, 2019 | M | 282 | $47.54 | A | 14,167 | I | Trust |
| Common StockF2,F3 | Jan 22, 2019 | M | 191 | $47.54 | A | 14,358 | I | Trust |
| Common StockF1 | holding | — | — | — | 2,000 | D | ||
| Common StockF2,F3 | holding | — | — | — | 12,085 | I | Trust |
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 StockF5,F9 | — | Jan 22, 2019 | F | 298 | D | — | — | Common Stock | 299 | 0 | D |
| 2016 Time-Based Restricted StockF5,F12 | — | Jan 22, 2019 | F | 439 | D | — | — | Common Stock | 0 | 0 | D |
| 2016 Performance Based Restricted Stock (1-year performance)F5,F14 | — | Jan 22, 2019 | F | 1,465 | D | — | — | Common Stock | 0 | — | D |
| 2015 Time-Based Restricted StockF5,F15 | — | Jan 22, 2019 | F | 584 | D | — | — | Common Stock | 583 | 0 | D |
| 2018 Time-Based Restricted StockF5,F6 | — | holding | — | — | — | — | — | Common Stock | 799 | 0 | D |
| 2018 Performance Based Restricted Stock (3-year performance)F5,F7 | — | holding | — | — | — | — | — | Common Stock | 1,066 | 0 | D |
| 2018 Performance Based Restricted Stock (1-year performance)F5,F8 | — | holding | — | — | — | — | — | Common Stock | 799 | 0 | D |
| 2017 Time-Based Restricted StockF5,F9 | — | holding | — | — | — | — | — | Common Stock | 597 | 0 | D |
| 2017 Performance Based Restricted Stock (3-year performance)F5,F10 | — | holding | — | — | — | — | — | Common Stock | 448 | — | D |
| 2017 Performance Based Restricted Stock (1-year performance)F5,F11 | — | holding | — | — | — | — | — | Common Stock | 547 | — | D |
| 2016 Time-Based Restricted StockF5,F12 | — | holding | — | — | — | — | — | Common Stock | 439 | 0 | D |
| 2016 Performance Based Restricted Stock (3-year performance)F5,F13 | — | holding | — | — | — | — | — | Common Stock | 698 | — | D |
| 2016 Performance Based Restricted Stock (1-year performance)F5,F14 | — | holding | — | — | — | — | — | Common Stock | 1,465 | — | D |
| 2015 Time-Based Restricted StockF5,F15 | — | holding | — | — | — | — | — | Common Stock | 1,167 | 0 | D |
| 2014 Time-Based Restricted StockF5,F16 | — | holding | — | — | — | — | — | Common Stock | 490 | 0 | D |
Explanation of responses
- F1These shares are held in an IRA.
- F10These restricted stock units vest in 2020 if certain performance measures are achieved by the Issuer.
- F11These restricted stock units vest on 1-19-2020 if certain performance measures are achieved by the Issuer.
- F12Of these restricted stock units, 1/3 vest on 1-19-2017, 1/3 vest on 1-19-2018, and 1/3 vest on 1-19-2019.
- F13These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer.
- F14These restricted stock units vest on 1-19-2019 if certain performance measures are achieved by the Issuer.
- F15Of these restricted stock units, 1/3 vest on 1-20-2018, 1/3 vest on 1-20-2019, and 1/3 vest on 1-20-2020.
- F16Of these restricted stock units, 1/3 vest on 3-11-2017, 1/3 vest on 3-11-2018, and 1/3 vest on 3-11-2019.
- F2These shares participate in a Dividend Reinvestment Plan.
- F3These shares held by Fox Revocable Trust dated 11/19/2001, Brian J Fox and Brenda J Fox, Trustees
- F4Reflects shares purchased through the Employee Stock Purchase Program
- F5Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- F6Of these restricted stock units, 1/3 vest on 3-6-2019, 1/3 vest on 3-6-2020, and 1/3 vest on 3-6-2021.
- F7These restricted stock units vest in 2021 if certain performance measures are achieved by the Issuer.
- F8These restricted stock units vest on 3-6-2021 if certain performance measures are achieved by the Issuer.
- F9Of these restricted stock units, 1/3 vest in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020.