FOX BRIAN 4

Accession 0000920112-20-000043

CIK 0000920112other

Filed

Jan 22, 7:00 PM ET

Accepted

Jan 23, 6:19 PM ET

Size

29.2 KB

Accession

0000920112-20-000043

Form 4

Period: 2020-01-23

EVP, Operations

Transactions

Exercise/Conversion
Common Stock
2020-01-23$49.61/sh+375$18,604→ 726 total
Exercise/Conversion
Common Stock
2020-01-23$49.61/sh+192$9,525→ 918 total
Tax Payment
2015 Time-Based Restricted Stock
2020-01-23$49.61/sh−583$28,923→ 0 total
→ Common Stock (0 underlying)
Tax Payment
2017 Time-Based Restricted Stock
2020-01-23$49.61/sh−299$14,833→ 0 total
→ Common Stock (0 underlying)
Exercise/Conversion
Common Stock
2020-01-23$49.61/sh+351$17,413→ 351 total
Award
2017 Performance Based Restricted Stock (1-year performance)
2020-01-23$49.61/sh−547$27,137→ 0 total
→ Common Stock (0 underlying)

Holdings

Common Stock
0
2019 Performance Based Restricted Stock (3-year performance)
→ Common Stock (1,617 underlying)
0
2017 Time-Based Restricted Stock
→ Common Stock (299 underlying)
299
2018 Performance Based Restricted Stock (3-year performance)
→ Common Stock (1,066 underlying)
0
2019 Time-Based Restricted Stock
→ Common Stock (1,617 underlying)
0
2018 Performance Based Restricted Stock (1-year performance)
→ Common Stock (180 underlying)
0
Common Stock
(indirect: By Trust)
14,858.196
2015 Time-Based Restricted Stock
→ Common Stock (583 underlying)
583
Common Stock
2,000
2016 Performance Based Restricted Stock (3-year performance)
→ Common Stock (0 underlying)
0
2017 Performance Based Restricted Stock (1-year performance)
→ Common Stock (547 underlying)
547
2017 Performance Based Restricted Stock (3-year performance)
→ Common Stock (448 underlying)
0
2018 Time-Based Restricted Stock
→ Common Stock (533 underlying)
0

Footnotes (14)

[F1]These shares are held in an IRA.
[F10]These restricted stock units vest on 3-6-2021 if certain performance measures are achieved by the Issuer.
[F11]These restricted stock units vest in 2021 if certain performance measures are achieved by the Issuer.
[F12]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.
[F13]These restricted stock units vest in 2022 if certain performance measures are achieved by the Issuer
[F14]Of these restricted stock units, 1/3 vest on 3-6-2020, 1/3 vest on 3-6-2021, and 1/3 vest on 3-6-2022.
[F2]These shares participate in a Dividend Reinvestment Plan.
[F3]These shares held by Fox Revocable Trust dated 11/19/2001, Brian J Fox and Brenda J Fox, Trustees
[F4]Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
[F5]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.
[F6]These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer.
[F7]These restricted stock units vest on 1-19-2020 if certain performance measures are achieved by the Issuer.
[F8]These restricted stock units vest in 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

HEARTLAND FINANCIAL USA INC

CIK 0000920112

Entity typeother