Filing Details
- Accession Number:
- 0001179110-14-008895
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-05-22 11:44:40
- Reporting Period:
- 2014-05-21
- Filing Date:
- 2014-05-22
- Accepted Time:
- 2014-05-22 11:44:40
- 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 |
|---|---|---|---|---|---|---|---|
| 1436703 | J John Berg | 1398 Central Ave. Dubuque IA 52001 | Evp, Marketing & Sales | 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 | Acquisiton | 2014-05-21 | 500 | $22.35 | 4,500 | No | 4 | P | Indirect | IRA |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | IRA |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 18,817 | Direct | |
| Common Stock | 6 | Indirect | Retirement Plan |
| Common Stock | 200 | Indirect | IRA, Spouse |
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) | $29.65 | 2017-01-16 | 4,000 | 4,000 | Direct | |
| Common Stock | Non-Qualified Stock Option (Right to Buy) | $18.60 | 2018-01-24 | 5,000 | 5,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2017-01-16 | 4,000 | 4,000 | Direct |
| 2018-01-24 | 5,000 | 5,000 | Direct |
Footnotes
- These shares participate in a Dividend Reinvestment Plan.
- Includes 8,670 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.
- These shares are held in the name of John J. Berg & Ann K. Berg Jt Ten.
- 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.
- 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 the date of the grant.
- Includes 1,000 shares held in street name at Schwab.
- Includes 3,861 shares of Performance Based Restricted Stock.
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