MILLER MELVIN E 4
4 · HEARTLAND FINANCIAL USA INC · Filed Jan 19, 2012
Insider Transaction Report
Form 4
MILLER MELVIN E
Chief Investment Officer
Transactions
- Sale
Common Stock
2012-01-10$16.36/sh−3,514$57,489→ 0 total - Award
Common Stock
2012-01-17+5,476→ 25,212 total
Holdings
- 6,230(indirect: By IRA)
Common Stock
- 7,680(indirect: Retirement Fund)
Common Stock
- 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) - 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: $21.60Exp: 2016-02-06→ Common Stock (1,500 underlying) - 4,500
Non-Qualified Stock Option (Right to Buy
Exercise: $11.84Exp: 2013-01-21→ Common Stock (4,500 underlying) - 1,500
Non-Qualified Stock Option (Right to Buy)
Exercise: $29.65Exp: 2017-01-16→ Common Stock (1,500 underlying) - 2,500
Non-Qualified Stock Option (Right to Buy)
Exercise: $18.60Exp: 2018-01-24→ Common Stock (2,500 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]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.
- [F4]Includes 10,338 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.
- [F5]Includes 2,738 shares of Performance Based Restricted Stock.
- [F6]Double line entry....see next line for total.