Sloan Rodney 4

4 · HEARTLAND FINANCIAL USA INC · Filed Mar 12, 2019

Form 4

Period: 2019-03-11

EVP Chief Risk Officer

Transactions

Exercise/Conversion
Common Stock
2019-03-11$45.77/sh+220$10,069→ 7,424 total
Exercise/Conversion
2014 Time-Based Restricted Stock
2019-03-11$45.77/sh−317$14,509→ 0 total
→ Common Stock (0 underlying)

Holdings

2018 Time-Based Restricted Stock
→ Common Stock (287 underlying)
0
2018 Performance Based Restricted Stock (3-year performance)
→ Common Stock (573 underlying)
0
2018 Performance Based Restricted Stock (1-year performance)
→ Common Stock (97 underlying)
0
2017 Time-Based Restricted Stock
→ Common Stock (240 underlying)
0
Common Stock
7,204
2017 Performance Based Restricted Stock (1-year performance)
→ Common Stock (439 underlying)
2014 Time-Based Restricted Stock
→ Common Stock (317 underlying)
0
2015 Time-Based Restricted Stock
→ Common Stock (317 underlying)
0
2017 Performance Based Restricted Stock (3-year performance)
→ Common Stock (360 underlying)
2016 Performance Based Restricted Stock (3-year performance)
→ Common Stock (561 underlying)

Footnotes (12)

[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]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.
[F12]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]Reflects the forfeiture of 333 Performance Based Restricted Stock Units granted but not earned in 2018.
[F7]Of these restricted stock units, 1/3 vest in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020.
[F8]These restricted stock units vest in 2020 if certain performance measures are achieved by the Issuer.
[F9]These restricted stock units vest on 1-19-2020 if certain performance measures are achieved by the Issuer.

Documents

1 file