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4//SEC Filing

HORSTMANN DOUGLAS J 4

Accession 0000920112-17-000237

CIK 0000920112other
View on SEC.govCompany Profile

Filed

Aug 14, 8:00 PM ET

Accepted

Aug 15, 3:14 PM ET

Size

36.3 KB

Accession

0000920112-17-000237

Insider Transaction Report

Form 4
Period: 2017-08-10
HEARTLAND FINANCIAL USA INCHTLF
HORSTMANN DOUGLAS J
SVP, Lending
Transactions
  • Exercise/Conversion

    Common Stock

    2017-08-10$47.10/sh+6,437$303,183→ 76,801 total(indirect: By Trust)
  • Exercise/Conversion

    2017 Time-Based Restricted Stock

    2017-08-10$47.10/sh−1,133$53,364
    → Common Stock (0 underlying)
  • Exercise/Conversion

    2016 Time-Based Restricted Stock

    2017-08-10$47.10/sh−953$44,886→ 0 total
    → Common Stock (0 underlying)
  • Exercise/Conversion

    2016 Performance Based Restricted Stock (1-year performance)

    2017-08-10$47.10/sh−1,437$67,683
    → Common Stock (0 underlying)
  • Exercise/Conversion

    2015 Time-Based Restricted Stock

    2017-08-10$47.10/sh−2,050$96,555→ 0 total
    → Common Stock (0 underlying)
  • Exercise/Conversion

    2015 Performance Based Restricted Stock

    2017-08-10$47.10/sh−1,990$93,729→ 0 total
    → Common Stock (0 underlying)
  • Exercise/Conversion

    2014 Time-Based Restricted Stock

    2017-08-10$47.10/sh−1,350$63,585→ 0 total
    → Common Stock (0 underlying)
  • Exercise/Conversion

    2013 Time-Based Restricted Stock

    2017-08-10$47.10/sh−750$35,325→ 0 total
    → Common Stock (0 underlying)
Holdings

  • Common Stock

    (indirect: By Trust)
    70,364

  • Common Stock

    (indirect: By Trust)
    25,000

  • Common Stock

    (indirect: By Trust)
    27,000

  • Common Stock

    (indirect: By 401(k))
    15,720

  • 2016 Performance Based Restricted Stock (3-year performance)

    → Common Stock (758 underlying)
    0

  • 2017 Performance Based Restricted Stock (3-year performance)

    → Common Stock (566 underlying)

  • 2017 Performance Based Restricted Stock (1-year performance)

    → Common Stock (1,133 underlying)

  • 2017 Time-Based Restricted Stock

    → Common Stock (1,133 underlying)

  • 2016 Time-Based Restricted Stock

    → Common Stock (953 underlying)
    0

  • 2016 Performance Based Restricted Stock (1-year performance)

    → Common Stock (1,437 underlying)

  • 2015 Time-Based Restricted Stock

    → Common Stock (2,050 underlying)
    0

  • 2015 Performance Based Restricted Stock

    → Common Stock (1,990 underlying)
    0

  • 2014 Time-Based Restricted Stock

    → Common Stock (1,350 underlying)
    0

  • 2013 Time-Based Restricted Stock

    → Common Stock (750 underlying)
    0
Footnotes (16)
  • [F1]These shares are held by Doulgas J Horstmann Trust under agreement dated 8/13/2011 FBO Douglas J Horstmann Declaration of Trust
  • [F10]The vesting of these shares was accelerated per Restricted Stock Agreements due to qualified retirement.
  • [F11]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.
  • [F12]These restricted stock units vest on 1-19-2019 if certain performance measures are achieved by the Issuer.
  • [F13]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.
  • [F14]These restricted stock units vest on 1-18-2018 if certain performance measures are achieved by the Issuer.
  • [F15]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.
  • [F16]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.
  • [F2]These shares are held by Douglas J Horstmann Declaration of Trust under agreement dated 8/13/2011, Douglas J Horstmann, Trustee
  • [F3]These shares are held by Karen M Horstmann Declaration of Trust dated 8/13/2011, Karen M Horstmann, Trustee
  • [F4]Based on a plan statement dated June 2017
  • [F5]Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
  • [F6]These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer.
  • [F7]These restricted stock units vest in 2020 if certain performance measures are achieved by the Issuer.
  • [F8]These restricted stock units vest on 1-19-2020 if certain performance measures are achieved by the Issuer.
  • [F9]Of these restricted stock units, 1/3 vest in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020.

Documents

1 file

Issuer

HEARTLAND FINANCIAL USA INC

CIK 0000920112

→
Entity typeother

Related Parties

1
  • filerCIK 0001184326

Filing Metadata

Form type
4
Filed
Aug 14, 8:00 PM ET
Accepted
Aug 15, 3:14 PM ET
Size
36.3 KB
View on SEC.gov