Filing Details
- Accession Number:
- 0000920112-17-000096
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-23 08:44:47
- Reporting Period:
- 2017-02-22
- Filing Date:
- 2017-02-23
- Accepted Time:
- 2017-02-23 08:44:47
- 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 |
|---|---|---|---|---|---|---|---|
| 1184326 | J Douglas Horstmann | 1398 Central Ave. Dubuque IA 52001 | Evp, Lending | 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 | 2017-02-22 | 10,000 | $49.00 | 69,915 | No | 4 | S | Indirect | Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | Trust |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 79,915 | Indirect | Trust |
| Common Stock | 25,000 | Indirect | Trust |
| Common Stock | 27,000 | Indirect | Spouse's Trust |
| Common Stock | 15,720 | Indirect | 401(k) |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | 2013 Time-Based Restricted Stock | $0.00 | 0 | 0 | Direct | ||
| Common Stock | 2014 Time-Based Restricted Stock | $0.00 | 2,025 | 0 | Direct | ||
| Common Stock | 2015 Performance Based Restricted Stock | $0.00 | 1,990 | 0 | Direct | ||
| Common Stock | 2015 Time-Based Restricted Stock | $0.00 | 2,050 | 0 | Direct | ||
| Common Stock | 2016 Performance Based Restricted Stock (1-year performance) | $0.00 | 1,050 | 0 | Direct | ||
| Common Stock | 2016 Performance Based Restricted Stock (3-year performance) | $0.00 | 758 | 0 | Direct | ||
| Common Stock | 2016 Time-Based Restricted Stock | $0.00 | 953 | 953 | Direct | ||
| Common Stock | 2017 Time-Based Restricted Stock | $0.00 | 1,133 | 0 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 0 | 0 | Direct | |
| 2,025 | 0 | Direct | |
| 1,990 | 0 | Direct | |
| 2,050 | 0 | Direct | |
| 1,050 | 0 | Direct | |
| 758 | 0 | Direct | |
| 953 | 953 | Direct | |
| 1,133 | 0 | Direct |
Footnotes
- These shares are held by Doulgas J Horstmann Trust under agreement dated 8/13/2011 FBO Douglas J Horstmann Declaration of Trust
- These shares are held by Douglas J Horstmann Declaration of Trust under agreement dated 8/13/2011, Douglas J Horstmann, Trustee
- These shares are held by Karen M Horstmann Declaration of Trust dated 8/13/2011, Karen M Horstmann, 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 1-22-2016, 1/3 vest on 1-22-2017, and 1/3 vest on 1-22-2018.
- 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.
- These restricted stock units vest in 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.
- Of these restricted stock units, 1/3 vest in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020.
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