Sloan Rodney 4

Accession 0000920112-18-000054

CIK 0000920112other

Filed

Jan 22, 7:00 PM ET

Accepted

Jan 23, 1:48 PM ET

Size

29.6 KB

Accession

0000920112-18-000054

Form 4

Period: 2018-01-19

EVP Chief Risk Officer

Transactions

Tax Payment
2016 Time-Based Restricted Stock
2018-01-19$55.50/sh−352$19,536
→ Common Stock (353 underlying)
Exercise/Conversion
Common Stock
2018-01-19$55.50/sh+226$12,543→ 5,389 total
Tax Payment
2017 Time-Based Restricted Stock
2018-01-19$55.50/sh−240$13,320
→ Common Stock (480 underlying)
Tax Payment
2015 Time-Based Restricted Stock
2018-01-20$55.50/sh−317$17,594
→ Common Stock (633 underlying)
Exercise/Conversion
Common Stock
2018-01-22$55.55/sh+225$12,499→ 4,960 total
Exercise/Conversion
Common Stock
2018-01-20$55.50/sh+203$11,267→ 5,163 total
Exercise/Conversion
Common Stock
2018-01-19$55.50/sh+154$8,547→ 5,543 total
Tax Payment
2013 Time-Based Restricted Stock
2018-01-22$55.55/sh−350$19,443
→ Common Stock (0 underlying)

Holdings

2017 Time-Based Restricted Stock
→ Common Stock (720 underlying)
2017 Performance Based Restricted Stock (3-year performance)
→ Common Stock (360 underlying)
2016 Time-Based Restricted Stock
→ Common Stock (705 underlying)
2016 Performance Based Restricted Stock (3-year performance)
→ Common Stock (561 underlying)
Common Stock
4,735
2017 Performance Based Restricted Stock (1-year performance)
→ Common Stock (440 underlying)
2016 Performance Based Restricted Stock (1-year performance)
→ Common Stock (1,178 underlying)
2015 Time-Based Restricted Stock
→ Common Stock (950 underlying)
2014 Time-Based Restricted Stock
→ Common Stock (633 underlying)
0
2013 Time-Based Restricted Stock
→ Common Stock (350 underlying)

Footnotes (11)

[F1]These shares are held as 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