4//SEC Filing
BERG JOHN J 4
Accession 0001179110-11-012961
CIK 0000920112other
Filed
Sep 5, 8:00 PM ET
Accepted
Sep 6, 4:32 PM ET
Size
10.3 KB
Accession
0001179110-11-012961
Insider Transaction Report
Form 4
BERG JOHN J
EVP, Marketing & Sales
Transactions
- Purchase
Common Stock
2011-09-02$13.40/sh+1,000$13,400→ 4,000 total(indirect: By IRA)
Holdings
- 4,000
Non-Qualified Stock Option (Right to Buy)
Exercise: $29.65Exp: 2017-01-16→ Common Stock (4,000 underlying) - 6(indirect: Retirement Plan)
Common Stock
- 5,000
Non-Qualified Stock Option (Right to Buy)
Exercise: $18.60Exp: 2018-01-24→ Common Stock (5,000 underlying) - 7,728.624
Common Stock
- 200(indirect: By Spouse)
Common Stock
Footnotes (7)
- [F1]These shares participate in a Dividend Reinvestment Plan.
- [F2]Includes 5,700 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.
- [F3]These shares are held in the name of John J. Berg & Ann K. Berg Jt Ten.
- [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]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 the date of the grant.
- [F6]Includes 1,000 shares held in street name at Schwab.
- [F7]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 for any other purpose.
Documents
Issuer
HEARTLAND FINANCIAL USA INC
CIK 0000920112
Entity typeother
Related Parties
1- filerCIK 0001436703
Filing Metadata
- Form type
- 4
- Filed
- Sep 5, 8:00 PM ET
- Accepted
- Sep 6, 4:32 PM ET
- Size
- 10.3 KB