Filing Details

Accession Number:
0000920112-20-000139
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-05-04 13:32:34
Reporting Period:
2020-05-01
Accepted Time:
2020-05-04 13:32:34
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
1504067 Brian Fox 1398 Central Ave
Dubuque IA 52001
Evp, Operations 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 2020-05-01 345 $33.02 14,155 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 3,258 Direct
Common Stock 2,000 Direct
Common Stock 14,500 Indirect Trust
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock 2017 Performance Based Restricted Stock (3-year performance) $0.00 188 188 Direct
Common Stock 2018 Performance Based Restricted Stock (1-year performance) $0.00 180 0 Direct
Common Stock 2018 Performance Based Restricted Stock (3-year performance) $0.00 1,066 0 Direct
Common Stock 2018 Time-Based Restricted Stock $0.00 185 185 Direct
Common Stock 2019 Performance Based Restricted Stock (3-year performance) $0.00 1,617 0 Direct
Common Stock 2019 Time-Based Restricted Stock $0.00 375 375 Direct
Common Stock 2020 Performance Based Restricted Stock (3-year performance) $0.00 1,798 0 Direct
Common Stock 2020 Time-Based Restricted Stock $0.00 1,799 0 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
188 188 Direct
180 0 Direct
1,066 0 Direct
185 185 Direct
1,617 0 Direct
375 375 Direct
1,798 0 Direct
1,799 0 Direct
Footnotes
  1. These shares are held in an IRA.
  2. These shares participate in a Dividend Reinvestment Plan.
  3. These shares held by Fox Revocable Trust dated 11/19/2001, Brian J Fox and Brenda J Fox, Trustees
  4. Shares sold pursuant to 10b5-1 Plan effective December 9,2019
  5. Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
  6. These restricted stock units vest in 2020 if certain performance measures are achieved by the Issuer.
  7. These restricted stock units vest on 3-6-2021 if certain performance measures are achieved by the Issuer.
  8. These restricted stock units vest in 2021 if certain performance measures are achieved by the Issuer.
  9. Of these restricted stock units, 1/3 vest on 3-6-2019, 1/3 vest on 3-6-2020, and 1/3 vest on 3-6-2021.
  10. These restricted stock units vest in 2022 if certain performance measures are achieved by the Issuer
  11. Of these restricted stock units, 1/3 vest on 3-6-2020, 1/3 vest on 3-6-2021, and 1/3 vest on 3-6-2022.
  12. These restricted stock units vest in 2023 if certain performance measures are achieved by the Issuer
  13. Of these restricted stock units, 1/3 vest on 3-6-2021, 1/3 vest on 3-6-2022, and 1/3 vest on 3-6-2023.