SEC Form 4 · accession 0000920112-19-000063
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
Mar 6, 2019
Accepted (ET)
Mar 8, 2019 · 11:32 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,F3 | Mar 6, 2019 | M | 185 | $48.10 | A | 14,543 | I | Trust |
| Common StockF1 | holding | — | — | — | 2,000 | D | ||
| Common StockF2,F3 | holding | — | — | — | 14,358 | I | Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2018 Time-Based Restricted StockF4,F5 | — | Mar 6, 2019 | M | 266 | D | — | — | Common Stock | 533 | 0 | D |
| 2018 Time-Based Restricted StockF4,F5 | — | holding | — | — | — | — | — | Common Stock | 799 | 0 | D |
| 2018 Performance Based Restricted Stock (3-year performance)F4,F6 | — | holding | — | — | — | — | — | Common Stock | 1,066 | 0 | D |
| 2018 Performance Based Restricted Stock (1-year performance)F4,F7 | — | holding | — | — | — | — | — | Common Stock | 799 | 0 | D |
| 2017 Time-Based Restricted StockF4,F8 | — | holding | — | — | — | — | — | Common Stock | 299 | 0 | D |
| 2017 Performance Based Restricted Stock (3-year performance)F4,F9 | — | holding | — | — | — | — | — | Common Stock | 448 | — | D |
| 2017 Performance Based Restricted Stock (1-year performance)F4,F10 | — | holding | — | — | — | — | — | Common Stock | 547 | — | D |
| 2016 Performance Based Restricted Stock (3-year performance)F4,F11 | — | holding | — | — | — | — | — | Common Stock | 698 | — | D |
| 2015 Time-Based Restricted StockF4,F12 | — | holding | — | — | — | — | — | Common Stock | 583 | 0 | D |
| 2014 Time-Based Restricted StockF4,F13 | — | holding | — | — | — | — | — | Common Stock | 490 | 0 | D |
Explanation of responses
- F1These shares are held in an IRA.
- F10These restricted stock units vest on 1-19-2020 if certain performance measures are achieved by the Issuer.
- F11These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer.
- F12Of 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.
- F13Of 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
- F4Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- F5Of 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.
- F6These restricted stock units vest in 2021 if certain performance measures are achieved by the Issuer.
- F7These restricted stock units vest on 3-6-2021 if certain performance measures are achieved by the Issuer.
- F8Of these restricted stock units, 1/3 vest in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020.
- F9These restricted stock units vest in 2020 if certain performance measures are achieved by the Issuer.