SEC Form 4 · accession 0000920112-19-000070
HEARTLAND FINANCIAL USA INC · HTLF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Deborah K Deters
Officer — EVP, Chief HR Officer
Period of report
Jan 2, 2019
Accepted (ET)
Mar 8, 2019 · 11:36 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 StockF1 | Jan 2, 2019 | A | 467 | $41.77 | A | 467 | D | |
| Common Stock | Mar 6, 2019 | M | 190 | $48.10 | A | 657 | D | |
| Common Stock | holding | — | — | — | 0 | D |
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 StockF2,F3 | — | Jan 2, 2019 | M | 190 | D | — | — | Common Stock | 381 | 0 | D |
| 2018 Time-Based Restricted StockF2,F3 | — | holding | — | — | — | — | — | Common Stock | 571 | 0 | D |
| 2018 Performance Based Restricted Stock (3-year performance)F2,F3 | — | holding | — | — | — | — | — | Common Stock | 761 | 0 | D |
| 2018 Performance Based Restricted Stock (1-year performance)F2,F4 | — | holding | — | — | — | — | — | Common Stock | 571 | 0 | D |
Explanation of responses
- F1Reflects shares purchased through the Employee Stock Purchase Program
- F2Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- 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.