FOX BRIAN 4

4 · HEARTLAND FINANCIAL USA INC · Filed Nov 17, 2020

Form 4

Period: 2020-03-17

EVP, Operations

Transactions

Award
2020 Time-Based Restricted Stock
2020-03-17$32.57/sh+1,799$58,593→ 0 total
→ Common Stock (1,799 underlying)
Award
2020 Performance Based Restricted Stock (3-year performance)
2020-03-17$32.57/sh+1,798$58,561→ 0 total
→ Common Stock (1,798 underlying)

Holdings

2020 Performance Based Restricted Stock (3-year performance)
→ Common Stock (0 underlying)
0
2019 Time-Based Restricted Stock
→ Common Stock (375 underlying)
375
2019 Performance Based Restricted Stock (3-year performance)
→ Common Stock (1,617 underlying)
0
2018 Performance Based Restricted Stock (3-year performance)
→ Common Stock (1,066 underlying)
0
Common Stock
(indirect: By Trust)
15,840.196
2020 Time-Based Restricted Stock
→ Common Stock (0 underlying)
0
2018 Time-Based Restricted Stock
→ Common Stock (185 underlying)
185
2018 Performance Based Restricted Stock (1-year performance)
→ Common Stock (180 underlying)
0
Common Stock
2,000

Footnotes (10)

[F1]These shares held by Fox Revocable Trust dated 11/19/2001, Brian J Fox and Brenda J Fox, Trustees
[F10]These restricted stock units vest on 3-6-2021 if certain performance measures are achieved by the Issuer.
[F2]These shares are held in an IRA.
[F3]Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
[F4]Of these restricted stock units, 1/3 vest on 3-6-2021, 1/3 vest on 3-6-2022, and 1/3 vest on 3-6-2023.
[F5]These restricted stock units vest in 2023 if certain performance measures are achieved by the Issuer
[F6]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.
[F7]These restricted stock units vest in 2022 if certain performance measures are achieved by the Issuer
[F8]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.
[F9]These restricted stock units vest in 2021 if certain performance measures are achieved by the Issuer.

Documents

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