WALTER FRANK E 4

Accession 0000920112-18-000050

CIK 0000920112other

Filed

Jan 22, 7:00 PM ET

Accepted

Jan 23, 1:47 PM ET

Size

29.6 KB

Accession

0000920112-18-000050

Form 4

Period: 2018-01-19

EVP Commercial Banking

Transactions

Exercise/Conversion
Common Stock
2018-01-22$55.55/sh+340$18,887→ 17,572 total
Exercise/Conversion
Common Stock
2018-01-20$55.50/sh+289$16,040→ 17,861 total
Exercise/Conversion
Common Stock
2018-01-19$55.50/sh+168$9,324→ 18,265 total
Exercise/Conversion
Common Stock
2018-01-19$55.50/sh+236$13,098→ 18,097 total
Tax Payment
2017 Time-Based Restricted Stock
2018-01-19$55.50/sh−258$14,319
→ Common Stock (517 underlying)
Tax Payment
2016 Time-Based Restricted Stock
2018-01-19$55.50/sh−362$20,091
→ Common Stock (361 underlying)
Tax Payment
2015 Time-Based Restricted Stock
2018-01-20$55.50/sh−442$24,531
→ Common Stock (883 underlying)
Tax Payment
2013 Time-Based Restricted Stock
2018-01-22$55.55/sh−490$27,220
→ Common Stock (0 underlying)

Holdings

2014 Time-Based Restricted Stock
→ Common Stock (883 underlying)
0
2017 Time-Based Restricted Stock
→ Common Stock (775 underlying)
2017 Performance Based Restricted Stock (3-year performance)
→ Common Stock (387 underlying)
2016 Performance Based Restricted Stock (3-year performance)
→ Common Stock (575 underlying)
2016 Performance Based Restricted Stock (1-year performance)
→ Common Stock (1,207 underlying)
2013 Time-Based Restricted Stock
→ Common Stock (490 underlying)
Common Stock
17,232
2017 Performance Based Restricted Stock (1-year performance)
→ Common Stock (473 underlying)
2016 Time-Based Restricted Stock
→ Common Stock (723 underlying)
2015 Time-Based Restricted Stock
→ Common Stock (1,325 underlying)

Footnotes (11)

[F1]Of these shares 9,558 shares are held in Jt. Ten.
[F10]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.
[F11]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]Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
[F3]Of these restricted stock units, 1/3 vest in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020.
[F4]These restricted stock units vest in 2020 if certain performance measures are achieved by the Issuer.
[F5]These restricted stock units vest on 1-19-2020 if certain performance measures are achieved by the Issuer.
[F6]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.
[F7]These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer.
[F8]These restricted stock units vest on 1-19-2019 if certain performance measures are achieved by the Issuer.
[F9]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.

Documents

1 file

HEARTLAND FINANCIAL USA INC

CIK 0000920112

Entity typeother