SEC Form 4 · accession 0000920112-19-000035
HEARTLAND FINANCIAL USA INC · HTLF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael J Coyle
Officer — EVP Senior General Counsel
Period of report
Jan 22, 2019
Accepted (ET)
Jan 24, 2019 · 7:55 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 Stock | Jan 22, 2019 | M | 625 | $47.54 | A | 8,834 | D | |
| Common Stock | Jan 22, 2019 | M | 225 | $47.54 | A | 9,059 | D | |
| Common Stock | Jan 22, 2019 | M | 187 | $47.54 | A | 9,246 | D | |
| Common Stock | Jan 22, 2019 | M | 140 | $47.54 | A | 9,386 | D | |
| Common Stock | holding | — | — | — | 8,209 | D | ||
| Common Stock | holding | — | — | — | 2,000 | I | 401K |
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 StockF1,F5 | — | Jan 22, 2019 | F | 218 | D | — | — | Common Stock | 218 | 0 | D |
| 2016 Time-Based Restricted StockF1,F8 | — | Jan 22, 2019 | F | 291 | D | — | — | Common Stock | 0 | 0 | D |
| 2016 Performance Based Restricted Stock (1-year performance)F1,F10 | — | Jan 22, 2019 | F | 972 | D | — | — | Common Stock | 0 | 0 | D |
| 2015 Time-Based Restricted StockF1,F11 | — | Jan 22, 2019 | F | 350 | D | — | — | Common Stock | 350 | 0 | D |
| 2018 Time-Based Restricted StockF1,F2 | — | holding | — | — | — | — | — | Common Stock | 457 | 0 | D |
| 2018 Performance Based Restricted Stock (3-year performance)F1,F3 | — | holding | — | — | — | — | — | Common Stock | 609 | 0 | D |
| 2018 Performance Based Restricted Stock (1-year performance)F1,F4 | — | holding | — | — | — | — | — | Common Stock | 457 | 0 | D |
| 2017 Time-Based Restricted StockF1,F5 | — | holding | — | — | — | — | — | Common Stock | 436 | 0 | D |
| 2017 Performance Based Restricted Stock (3-year performance)F1,F6 | — | holding | — | — | — | — | — | Common Stock | 327 | 0 | D |
| 2017 Performance Based Restricted Stock (1-year performance)F1,F7 | — | holding | — | — | — | — | — | Common Stock | 399 | 0 | D |
| 2016 Time-Based Restricted StockF1,F8 | — | holding | — | — | — | — | — | Common Stock | 291 | 0 | D |
| 2016 Performance Based Restricted Stock (3-year performance)F1,F9 | — | holding | — | — | — | — | — | Common Stock | 463 | 0 | D |
| 2016 Performance Based Restricted Stock (1-year performance)F1,F10 | — | holding | — | — | — | — | — | Common Stock | 972 | 0 | D |
| 2015 Time-Based Restricted StockF1,F11 | — | holding | — | — | — | — | — | Common Stock | 700 | 0 | D |
| 2014 Time-Based Restricted StockF1,F12 | — | holding | — | — | — | — | — | Common Stock | 350 | 0 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- F10These restricted stock units vest on 1-19-2019 if certain performance measures are achieved by the Issuer.
- F11Of 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.
- F12Of 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.
- F2Of 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.
- F3These restricted stock units vest in 2021 if certain performance measures are achieved by the Issuer.
- F4These restricted stock units vest on 3-6-2021 if certain performance measures are achieved by the Issuer.
- F5Of these restricted stock units, 1/3 vest in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020.
- F6These restricted stock units vest in 2020 if certain performance measures are achieved by the Issuer.
- F7These restricted stock units vest on 1-19-2020 if certain performance measures are achieved by the Issuer.
- F8Of 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.
- F9These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer.