Filing Details
- Accession Number:
- 0001179110-11-006285
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-04-08 13:00:00
- Reporting Period:
- 2011-04-06
- Filing Date:
- 2011-04-08
- Accepted Time:
- 2011-04-08 18:13:50
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 920112 | Heartland Financial Usa Inc | HTLF | State Commercial Banks (6022) | 421405748 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1291362 | E Melvin Miller | 1398 Central Ave. Dubuque IA 52001 | Chief Investment Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2011-04-06 | 2,000 | $17.75 | 0 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-04-07 | 1,000 | $17.75 | 16,250 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 6,230 | Indirect | IRA |
| Common Stock | 7,680 | Indirect | Retirement Fund |
| Common Stock | 3,899 | Indirect | HRT Retirement Plan |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-Qualified Stock Option (Right to Buy | $8.67 | 2011-06-01 | 3,000 | 3,000 | Direct | |
| Common Stock | Non-Qualified Stock Option (Right to Buy | $8.80 | 2012-01-15 | 6,000 | 6,000 | Direct | |
| Common Stock | Non-Qualified Stock Option (Right to Buy | $11.84 | 2013-01-21 | 4,500 | 4,500 | Direct | |
| Common Stock | Non-Qualified Stock Option (Right to Buy | $19.48 | 2014-01-20 | 3,000 | 3,000 | Direct | |
| Common Stock | Non-Qualified Stock Option (Right to Buy) | $21.00 | 2015-02-10 | 5,000 | 5,000 | Direct | |
| Common Stock | Non-Qualified Stock Option (Right to Buy | $21.60 | 2016-02-06 | 1,500 | 1,500 | Direct | |
| Common Stock | Non-Qualified Stock Option (Right to Buy) | $29.65 | 2017-01-16 | 1,500 | 1,500 | Direct | |
| Common Stock | Non-Qualified Stock Option (Right to Buy) | $18.60 | 2018-01-24 | 2,500 | 2,500 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2011-06-01 | 3,000 | 3,000 | Direct |
| 2012-01-15 | 6,000 | 6,000 | Direct |
| 2013-01-21 | 4,500 | 4,500 | Direct |
| 2014-01-20 | 3,000 | 3,000 | Direct |
| 2015-02-10 | 5,000 | 5,000 | Direct |
| 2016-02-06 | 1,500 | 1,500 | Direct |
| 2017-01-16 | 1,500 | 1,500 | Direct |
| 2018-01-24 | 2,500 | 2,500 | Direct |
Footnotes
- Shares held jointly with reporting person's spouse.
- Represents options to buy granted under the Company's Stock Option Plan, a Rule 16(b)(3) plan, which options vest one-third per year beginning on the 3rd anniversary of date of grant.
- Includes 593 Restricted Stock Awards granted under the 2005 Long-Term Incentive Plan.
- Represents shares allocated to the reporting person's account under the Heartland Financial USA, Inc. Retirement Plan as a result of the Pension Plan Protection Act of 2006.
- Includes 7,600 Restricted Stock Units (RSU). Each RSU represents the right to receive one share of common stock. The grant vests in three equal installments on the third, fourth and fifth anniversaries of the grant date. The RSU grant is subject to the settlement restrictions under the TARP.
- Double line entry -- see next line for total.
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