Sloan Rodney 4

Accession 0000920112-19-000032

CIK 0000920112other

Filed

Jan 23, 7:00 PM ET

Accepted

Jan 24, 7:53 PM ET

Size

32.4 KB

Accession

0000920112-19-000032

Form 4

Period: 2019-01-22

EVP Chief Risk Officer

Transactions

Tax Payment
2016 Time-Based Restricted Stock
2019-01-22$47.54/sh−353$16,782→ 0 total
→ Common Stock (0 underlying)
Tax Payment
2015 Time-Based Restricted Stock
2019-01-22$47.54/sh−316$15,023→ 0 total
→ Common Stock (317 underlying)
Tax Payment
2017 Time-Based Restricted Stock
2019-01-22$47.54/sh−240$11,410→ 0 total
→ Common Stock (240 underlying)
Exercise/Conversion
Common Stock
2019-01-22$47.54/sh+227$10,792→ 6,748 total
Exercise/Conversion
Common Stock
2019-01-22$47.54/sh+154$7,321→ 7,105 total
Exercise/Conversion
Common Stock
2019-01-22$47.54/sh+758$36,035→ 6,521 total
Exercise/Conversion
Common Stock
2019-01-22$47.54/sh+203$9,651→ 6,951 total
Tax Payment
2016 Performance Based Restricted Stock (1-year performance)
2019-01-22$47.54/sh−1,178$56,002
→ Common Stock (0 underlying)

Holdings

2016 Performance Based Restricted Stock (1-year performance)
→ Common Stock (1,178 underlying)
2018 Performance Based Restricted Stock (3-year performance)
→ Common Stock (573 underlying)
0
Common Stock
5,763
2018 Time-Based Restricted Stock
→ Common Stock (430 underlying)
0
2018 Performance Based Restricted Stock (1-year performance)
→ Common Stock (430 underlying)
0
2017 Performance Based Restricted Stock (1-year performance)
→ Common Stock (439 underlying)
2017 Time-Based Restricted Stock
→ Common Stock (480 underlying)
0
2015 Time-Based Restricted Stock
→ Common Stock (633 underlying)
0
2017 Performance Based Restricted Stock (3-year performance)
→ Common Stock (360 underlying)
2016 Time-Based Restricted Stock
→ Common Stock (353 underlying)
0
2016 Performance Based Restricted Stock (3-year performance)
→ Common Stock (561 underlying)
2014 Time-Based Restricted Stock
→ Common Stock (317 underlying)
0

Footnotes (13)

[F1]These shares are held as Jt. Ten.
[F10]These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer.
[F11]These restricted stock units vest on 1-19-2019 if certain performance measures are achieved by the Issuer.
[F12]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.
[F13]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.
[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 on 3-6-2019, 1/3 vest on 3-6-2020, and 1/3 vest on 3-6-2021.
[F4]These restricted stock units vest in 2021 if certain performance measures are achieved by the Issuer.
[F5]These restricted stock units vest on 3-6-2021 if certain performance measures are achieved by the Issuer.
[F6]Of these restricted stock units, 1/3 vest in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020.
[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 on 1-19-2017, 1/3 vest on 1-19-2018, and 1/3 vest on 1-19-2019.

Documents

1 file

HEARTLAND FINANCIAL USA INC

CIK 0000920112

Entity typeother