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4//SEC Filing

ERICKSON KENNETH J 4

Accession 0001179110-11-012031

CIK 0000920112other
View on SEC.govCompany Profile

Filed

Aug 10, 8:00 PM ET

Accepted

Aug 11, 11:44 AM ET

Size

17.1 KB

Accession

0001179110-11-012031

Insider Transaction Report

Form 4
Period: 2011-08-10
HEARTLAND FINANCIAL USA INCHTLF
ERICKSON KENNETH J
EVP, Chief Credit Officer
Transactions
  • Exercise/Conversion

    Common Stock

    2011-08-10$8.80/sh+2,250$19,800→ 115,765 total
  • Exercise/Conversion

    Non-Qualified Stock Option (Right to Buy

    2011-08-10−2,250→ 0 total
    Exercise: $8.80Exp: 2012-01-15→ Common Stock (0 underlying)
Holdings

  • Common Stock

    (indirect: By Spouse)
    69,875

  • Common Stock

    (indirect: HTLF Retirement Plan)
    6,151

  • Non-Qualified Stock Option (Right to Buy

    Exercise: $19.48Exp: 2014-01-20→ Common Stock (4,000 underlying)
    4,000

  • Non-Qualified Stock Option (Right to Buy

    Exercise: $21.60Exp: 2016-02-06→ Common Stock (2,000 underlying)
    2,000

  • Non-Qualified Stock Option (Right to Buy)

    Exercise: $18.60Exp: 2018-01-24→ Common Stock (2,000 underlying)
    2,000

  • Common Stock

    (indirect: By 401(k))
    2,604

  • Non-Qualified Stock Option (Right to Buy

    Exercise: $11.84Exp: 2013-01-21→ Common Stock (6,000 underlying)
    6,000

  • Non-Qualified Stock Option (Right to Buy)

    Exercise: $21.00Exp: 2015-02-10→ Common Stock (4,000 underlying)
    4,000

  • Non-Qualified Stock Option (Right to Buy)

    Exercise: $29.65Exp: 2017-01-16→ Common Stock (2,000 underlying)
    2,000
Footnotes (5)
  • [F1]Represents options to buy granted under the Company's 1993 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.
  • [F2]The reporting person disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or any other purpose.
  • [F3]Includes 948 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 9,500 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.

Documents

1 file

Issuer

HEARTLAND FINANCIAL USA INC

CIK 0000920112

→
Entity typeother

Related Parties

1
  • filerCIK 0001184318

Filing Metadata

Form type
4
Filed
Aug 10, 8:00 PM ET
Accepted
Aug 11, 11:44 AM ET
Size
17.1 KB
View on SEC.gov