Filing Details
- Accession Number:
- 0000920112-16-000370
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2016-07-21 16:46:07
- Reporting Period:
- 2016-06-01
- Filing Date:
- 2016-07-21
- Accepted Time:
- 2016-07-21 16:46:07
- Original Submission Date:
- 2016-06-15
- 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 |
|---|---|---|---|---|---|---|---|
| 1589744 | Kurt Saylor | 1398 Central Ave Dubuque IA 52001 | Yes | No | 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 | 2016-06-01 | 2,839 | $35.03 | 387,409 | No | 4 | S | Indirect | Trust |
| Common Stock | Disposition | 2016-06-01 | 1,160 | $35.03 | 157,538 | No | 4 | S | Indirect | Wife's Trust |
| Common Stock | Disposition | 2016-06-01 | 3,550 | $35.18 | 383,859 | No | 4 | S | Indirect | Trust |
| Common Stock | Disposition | 2016-06-01 | 1,450 | $35.18 | 156,088 | No | 4 | S | Indirect | Wife's Trust |
| Common Stock | Disposition | 2016-06-06 | 7,100 | $35.64 | 376,759 | No | 4 | S | Indirect | Trust |
| Common Stock | Disposition | 2016-06-06 | 2,900 | $35.64 | 153,188 | No | 4 | S | Indirect | Wife's Trust |
| Common Stock | Disposition | 2016-06-06 | 8,875 | $35.63 | 367,884 | No | 4 | S | Indirect | Trust |
| Common Stock | Disposition | 2016-06-06 | 3,625 | $35.63 | 149,563 | No | 4 | S | Indirect | Wife's Trust |
| Common Stock | Disposition | 2016-06-13 | 3,692 | $34.83 | 364,192 | No | 4 | S | Indirect | Trust |
| Common Stock | Disposition | 2016-06-13 | 1,508 | $34.83 | 148,055 | No | 4 | S | Indirect | Wife's Trust |
| Common Stock | Disposition | 2016-06-13 | 2,130 | $35.10 | 362,062 | No | 4 | S | Indirect | Trust |
| Common Stock | Disposition | 2016-06-13 | 870 | $35.10 | 147,185 | No | 4 | S | Indirect | Wife's Trust |
| Common Stock | Disposition | 2016-06-14 | 1,633 | $34.32 | 360,429 | No | 4 | S | Indirect | Trust |
| Common Stock | Disposition | 2016-06-14 | 667 | $34.32 | 146,518 | No | 4 | S | Indirect | Wife's Trust |
| Common Stock | Disposition | 2016-06-14 | 3,550 | $34.24 | 356,879 | No | 4 | S | Indirect | Trust |
| Common Stock | Disposition | 2016-06-14 | 1,450 | $34.24 | 145,068 | No | 4 | S | Indirect | Wife's Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | Trust |
| No | 4 | S | Indirect | Wife's Trust |
| No | 4 | S | Indirect | Trust |
| No | 4 | S | Indirect | Wife's Trust |
| No | 4 | S | Indirect | Trust |
| No | 4 | S | Indirect | Wife's Trust |
| No | 4 | S | Indirect | Trust |
| No | 4 | S | Indirect | Wife's Trust |
| No | 4 | S | Indirect | Trust |
| No | 4 | S | Indirect | Wife's Trust |
| No | 4 | S | Indirect | Trust |
| No | 4 | S | Indirect | Wife's Trust |
| No | 4 | S | Indirect | Trust |
| No | 4 | S | Indirect | Wife's Trust |
| No | 4 | S | Indirect | Trust |
| No | 4 | S | Indirect | Wife's Trust |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | 2014 Time-Based Restricted Stock | $0.00 | 1,075 | 0 | Direct | ||
| Common Stock | 2014 Performance Based Restricted Stock | $0.00 | 1,030 | 0 | Direct | ||
| Common Stock | 2015 Time-Based Restricted Stock | $0.00 | 1,350 | 0 | Direct | ||
| Common Stock | 2015 Performance Based Restricted Stock | $0.00 | 995 | 0 | Direct | ||
| Common Stock | 2016 Time-Based Restricted Stock | $0.00 | 1,000 | 0 | Direct | ||
| Common Stock | 2016 Performance Based Restricted Stock (1-year performance) | $0.00 | 1,000 | 0 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 1,075 | 0 | Direct | |
| 1,030 | 0 | Direct | |
| 1,350 | 0 | Direct | |
| 995 | 0 | Direct | |
| 1,000 | 0 | Direct | |
| 1,000 | 0 | Direct |
Footnotes
- Shares sold pursuant to 10b5-1 Plan effective April 27, 2016
- Shares held by Kurt M. Saylor Trust dated 1/6/1998 for which the Reporting Person acts as trustee.
- Shares held by Melissa J. Saylor Trust dated 1/6/1998 for which the Reporting Person's wife acts as trustee.
- Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- Of 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.
- These restricted stock units vest on 12-31-2016 if certain performance measures are achieved by the Issuer.
- Of 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.
- These restricted stock units vest on 12-31-2017 if certain performance measures are achieved by the Issuer.
- Of 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.
- These restricted stock units vest on 1-19-2019 if certain performance measures are achieved by the Issuer.
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