Filing Details

Accession Number:
0001179110-12-005011
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-03-14 16:09:37
Reporting Period:
2012-03-14
Filing Date:
2012-03-14
Accepted Time:
2012-03-14 16:09:37
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
1184329 K John Schmidt 1398 Central Ave.
Dubuque IA 52001
Evp & Cfo Yes 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 2012-03-14 1,156 $15.03 12,173 No 4 P Indirect Spouse
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect Spouse
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 161,659 Direct
Common Stock 14,622 Indirect 401(k)
Common Stock 4,791 Indirect Minor Child
Common Stock 4,792 Indirect Son
Common Stock 5,348 Indirect Minor Child
Common Stock 4,498 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 $11.84 2013-01-21 10,500 10,500 Direct
Common Stock Non-Qualified Stock Option (Right to Buy) $19.48 2014-01-20 10,000 10,000 Direct
Common Stock Non-Qualified Stock Option (Right to Buy) $21.00 2015-02-10 10,000 10,000 Direct
Common Stock Non-Qualified Stock Option (Right to Buy $21.60 2016-02-06 4,000 4,000 Direct
Common Stock Non-Qualified Stock Option (Right to Buy) $29.65 2017-01-16 4,000 4,000 Direct
Common Stock Non-Qualified Stock Option (Right to Buy) $18.60 2018-01-24 4,000 4,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2013-01-21 10,500 10,500 Direct
2014-01-20 10,000 10,000 Direct
2015-02-10 10,000 10,000 Direct
2016-02-06 4,000 4,000 Direct
2017-01-16 4,000 4,000 Direct
2018-01-24 4,000 4,000 Direct
Footnotes
  1. Includes 2,088 shares held jointly with reporting person's spouse.
  2. Shares held as Donna L. Schmidt Cust for Nicole M. Schmidt.
  3. Shares held as Alexander J. Schmidt TOD Donna L Schmidt.
  4. Shares held as Donna L. Schmidt Cust for Benjamin N. Schmidt.
  5. Shares participate in a Dividend Reinvestment Plan.
  6. 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.
  7. 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.
  8. 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.
  9. Includes 20,300 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.
  10. Includes 5,600 shares of Performance Based Restricted Stock.
  11. Includes 1,000 shares held at Raymond James in street name.