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4//SEC Filing

MILLER MELVIN E 4

Accession 0001179110-11-013099

CIK 0000920112other
View on SEC.govCompany Profile

Filed

Sep 8, 8:00 PM ET

Accepted

Sep 9, 12:43 PM ET

Size

16.9 KB

Accession

0001179110-11-013099

Insider Transaction Report

Form 4
Period: 2011-09-08
HEARTLAND FINANCIAL USA INCHTLF
MILLER MELVIN E
Chief Investment Officer
Transactions
  • Exercise/Conversion

    Non-Qualified Stock Option (Right to Buy

    2011-09-08−1,000→ 5,000 total
    Exercise: $8.80Exp: 2012-01-15→ Common Stock (5,000 underlying)
  • Exercise/Conversion

    Common Stock

    2011-09-08$8.80/sh+1,000$8,800→ 18,250 total
Holdings

  • Non-Qualified Stock Option (Right to Buy

    Exercise: $19.48Exp: 2014-01-20→ Common Stock (3,000 underlying)
    3,000

  • Non-Qualified Stock Option (Right to Buy)

    Exercise: $21.00Exp: 2015-02-10→ Common Stock (5,000 underlying)
    5,000

  • Non-Qualified Stock Option (Right to Buy)

    Exercise: $29.65Exp: 2017-01-16→ Common Stock (1,500 underlying)
    1,500

  • Common Stock

    (indirect: By IRA)
    6,230

  • Common Stock

    (indirect: Retirement Fund)
    7,680

  • Common Stock

    (indirect: HRT Retirement Plan)
    3,899

  • Non-Qualified Stock Option (Right to Buy

    Exercise: $11.84Exp: 2013-01-21→ Common Stock (4,500 underlying)
    4,500

  • Non-Qualified Stock Option (Right to Buy)

    Exercise: $18.60Exp: 2018-01-24→ Common Stock (2,500 underlying)
    2,500

  • Non-Qualified Stock Option (Right to Buy

    Exercise: $21.60Exp: 2016-02-06→ Common Stock (1,500 underlying)
    1,500
Footnotes (5)
  • [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.

Documents

1 file

Issuer

HEARTLAND FINANCIAL USA INC

CIK 0000920112

→
Entity typeother

Related Parties

1
  • filerCIK 0001291362

Filing Metadata

Form type
4
Filed
Sep 8, 8:00 PM ET
Accepted
Sep 9, 12:43 PM ET
Size
16.9 KB
View on SEC.gov