FOX BRIAN 4

4 · HEARTLAND FINANCIAL USA INC · Filed Mar 3, 2020

Form 4

Period: 2020-03-02

EVP, Operations

Transactions

Sale
Common Stock
2020-03-02$42.87/sh−358$15,347→ 14,500.196 total(indirect: By Trust)

Holdings

Common Stock
918
Common Stock
(indirect: By Trust)
14,858.196
2018 Performance Based Restricted Stock (1-year performance)
→ Common Stock (180 underlying)
0
2018 Performance Based Restricted Stock (3-year performance)
→ Common Stock (1,066 underlying)
0
Common Stock
2,000
2017 Performance Based Restricted Stock (3-year performance)
→ Common Stock (448 underlying)
0
2018 Time-Based Restricted Stock
→ Common Stock (533 underlying)
0
2019 Performance Based Restricted Stock (3-year performance)
→ Common Stock (1,617 underlying)
0
2019 Time-Based Restricted Stock
→ Common Stock (1,617 underlying)
0

Footnotes (11)

[F1]These shares are held in an IRA.
[F10]These restricted stock units vest in 2022 if certain performance measures are achieved by the Issuer
[F11]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]Shares sold pursuant to 10b-51 Plan effective December 9,2019
[F5]Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
[F6]These restricted stock units vest in 2020 if certain performance measures are achieved by the Issuer.
[F7]These restricted stock units vest on 3-6-2021 if certain performance measures are achieved by the Issuer.
[F8]These restricted stock units vest in 2021 if certain performance measures are achieved by the Issuer.
[F9]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.

Documents

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