Filing Details
- Accession Number:
- 0000920112-16-000413
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-09-13 13:01:11
- Reporting Period:
- 2016-09-12
- Filing Date:
- 2016-09-13
- Accepted Time:
- 2016-09-13 13:01:11
- 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 | 2016-09-12 | 7,806 | $36.65 | 266,003 | No | 4 | S | Indirect | Trust |
| Common Stock | Disposition | 2016-09-12 | 7,100 | $36.60 | 258,903 | No | 4 | S | Indirect | Trust |
| Common Stock | Disposition | 2016-09-12 | 3,188 | $36.65 | 107,950 | No | 4 | S | Indirect | Wife's Trust |
| Common Stock | Disposition | 2016-09-12 | 2,900 | $36.60 | 105,050 | 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 | Trust |
| No | 4 | S | Indirect | Wife's Trust |
| No | 4 | S | Indirect | Wife's Trust |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 273,809 | Indirect | Trust |
| Common Stock | 111,138 | Indirect | Wife's Trust |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | 2014 Performance Based Restricted Stock | $0.00 | 1,030 | 0 | Direct | ||
| Common Stock | 2014 Time-Based Restricted Stock | $0.00 | 1,075 | 0 | Direct | ||
| Common Stock | 2015 Performance Based Restricted Stock | $0.00 | 995 | 0 | Direct | ||
| Common Stock | 2015 Time-Based Restricted Stock | $0.00 | 1,350 | 0 | Direct | ||
| Common Stock | 2016 Performance Based Restricted Stock (1-year performance) | $0.00 | 1,000 | 0 | Direct | ||
| Common Stock | 2016 Time-Based Restricted Stock | $0.00 | 1,000 | 0 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 1,030 | 0 | Direct | |
| 1,075 | 0 | Direct | |
| 995 | 0 | Direct | |
| 1,350 | 0 | Direct | |
| 1,000 | 0 | Direct | |
| 1,000 | 0 | Direct |
Footnotes
- Shares held by Kurt M. Saylor Trust dated 1-6-1998 for which Reporting Person acts as trustee.
- Shares sold pursuant to 10b5-1 Plan effective July 28, 2016
- Shares held by Melissa J. Saylor Trust dated 1-6-1998 for which Reporting Person's wife acts as trustee.
- Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- These restricted stock units vest on 1-18-2017 if certain performance measures are achieved by the Issuer.
- 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 1-18-2018 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 1-19-2019 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.
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