Filing Details
- Accession Number:
- 0001179110-11-002398
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-02-10 16:49:44
- Reporting Period:
- 2011-02-09
- Filing Date:
- 2011-02-10
- Accepted Time:
- 2011-02-10 16:49:44
- 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 |
|---|---|---|---|---|---|---|---|
| 1184328 | J Paul Peckosh | 1398 Central Ave. Dubuque IA 52001 | Evp, Trust | 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 | 2011-02-09 | 750 | $8.67 | 0 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-02-09 | 750 | $8.80 | 0 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-02-09 | 3,000 | $11.84 | 0 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-02-09 | 3,484 | $16.79 | 83,958 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-Qualified Stock Option (Right to Buy | Disposition | 2011-02-09 | 750 | $0.00 | 0 | $8.67 |
| Common Stock | Non-Qualified Stock Option (Right to Buy | Disposition | 2011-02-09 | 750 | $0.00 | 0 | $8.80 |
| Common Stock | Non-Qualified Stock Option (Right to Buy | Disposition | 2011-02-09 | 3,000 | $0.00 | 0 | $11.84 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2011-06-01 | No | 4 | M | Direct | |
| 0 | 2012-01-15 | No | 4 | M | Direct | |
| 0 | 2013-01-21 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 8,232 | Indirect | 401(k) |
| Common Stock | 2,275 | Indirect | By Spouse |
| Common Stock | 6,609 | Indirect | HTLF 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) | $19.48 | 2014-01-20 | 2,000 | 2,000 | Direct | |
| Common Stock | Non-Qualified Stock Option (Right to Buy) | $21.00 | 2015-02-10 | 2,000 | 2,000 | 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 | 1,500 | 1,500 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2014-01-20 | 2,000 | 2,000 | Direct |
| 2015-02-10 | 2,000 | 2,000 | Direct |
| 2016-02-06 | 1,500 | 1,500 | Direct |
| 2017-01-16 | 1,500 | 1,500 | Direct |
| 2018-01-24 | 1,500 | 1,500 | Direct |
Footnotes
- Includes 4,940 shares held jointly with reporting person's spouse.
- The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed to be an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- 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 3,800 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.
- Multiple line entry -- see below for total.
Billionaire Hedge Funds
