4//SEC Filing
MILLER MELVIN E 4
Accession 0001179110-11-006285
CIK 0000920112other
Filed
Apr 7, 8:00 PM ET
Accepted
Apr 8, 6:13 PM ET
Size
18.8 KB
Accession
0001179110-11-006285
Insider Transaction Report
Form 4
MILLER MELVIN E
Chief Investment Officer
Transactions
- Sale
Common Stock
2011-04-07$17.75/sh−1,000$17,750→ 16,250 total - Sale
Common Stock
2011-04-06$17.75/sh−2,000$35,500→ 0 total
Holdings
- 5,000
Non-Qualified Stock Option (Right to Buy)
Exercise: $21.00Exp: 2015-02-10→ Common Stock (5,000 underlying) - 1,500
Non-Qualified Stock Option (Right to Buy)
Exercise: $29.65Exp: 2017-01-16→ Common Stock (1,500 underlying) - 3,899(indirect: HRT Retirement Plan)
Common Stock
- 3,000
Non-Qualified Stock Option (Right to Buy
Exercise: $19.48Exp: 2014-01-20→ Common Stock (3,000 underlying) - 1,500
Non-Qualified Stock Option (Right to Buy
Exercise: $21.60Exp: 2016-02-06→ Common Stock (1,500 underlying) - 7,680(indirect: Retirement Fund)
Common Stock
- 4,500
Non-Qualified Stock Option (Right to Buy
Exercise: $11.84Exp: 2013-01-21→ Common Stock (4,500 underlying) - 2,500
Non-Qualified Stock Option (Right to Buy)
Exercise: $18.60Exp: 2018-01-24→ Common Stock (2,500 underlying) - 6,230(indirect: By IRA)
Common Stock
- 3,000
Non-Qualified Stock Option (Right to Buy
Exercise: $8.67Exp: 2011-06-01→ Common Stock (3,000 underlying) - 6,000
Non-Qualified Stock Option (Right to Buy
Exercise: $8.80Exp: 2012-01-15→ Common Stock (6,000 underlying)
Footnotes (6)
- [F1]Shares held jointly with reporting person's spouse.
- [F2]Represents options to buy granted under the Company's Stock Option Plan, a Rule 16(b)(3) plan, which options vest one-third per year beginning on the 3rd anniversary of date of grant.
- [F3]Includes 593 Restricted Stock Awards granted under the 2005 Long-Term Incentive Plan.
- [F4]Represents shares allocated to the reporting person's account under the Heartland Financial USA, Inc. Retirement Plan as a result of the Pension Plan Protection Act of 2006.
- [F5]Includes 7,600 Restricted Stock Units (RSU). Each RSU represents the right to receive one share of common stock. The grant vests in three equal installments on the third, fourth and fifth anniversaries of the grant date. The RSU grant is subject to the settlement restrictions under the TARP.
- [F6]Double line entry -- see next line for total.
Documents
Issuer
HEARTLAND FINANCIAL USA INC
CIK 0000920112
Entity typeother
Related Parties
1- filerCIK 0001291362
Filing Metadata
- Form type
- 4
- Filed
- Apr 7, 8:00 PM ET
- Accepted
- Apr 8, 6:13 PM ET
- Size
- 18.8 KB