Filing Details
- Accession Number:
- 0000920112-20-000141
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2020-05-06 16:32:16
- Reporting Period:
- 2020-05-01
- Accepted Time:
- 2020-05-06 16:32:16
- Original Submission Date:
- 2020-05-04
- 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 | 15,840 | 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 | 2,000 | Direct | |
| Common Stock | 16,185 | 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
- These shares are held in an IRA.
- These shares participate in a Dividend Reinvestment Plan.
- These shares held by Fox Revocable Trust dated 11/19/2001, Brian J Fox and Brenda J Fox, Trustees
- Shares sold pursuant to 10b5-1 Plan effective December 9,2019
- Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- These restricted stock units vest in 2020 if certain performance measures are achieved by the Issuer.
- These restricted stock units vest on 3-6-2021 if certain performance measures are achieved by the Issuer.
- These restricted stock units vest in 2021 if certain performance measures are achieved by the Issuer.
- 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.
- These restricted stock units vest in 2022 if certain performance measures are achieved by the Issuer
- 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.
- These restricted stock units vest in 2023 if certain performance measures are achieved by the Issuer
- 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.
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