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HEARTLAND FINANCIAL USA INC 4

Accession 0001179110-13-016271

CIK 0000920112operating
View on SEC.govCompany Profile

Filed

Nov 6, 7:00 PM ET

Accepted

Nov 7, 9:57 AM ET

Size

15.5 KB

Accession

0001179110-13-016271

Insider Transaction Report

Form 4
Period: 2013-11-04
HEARTLAND FINANCIAL USA INCHTLF
ERICKSON KENNETH J
EVP, Chief Credit Officer
Transactions
  • Exercise/Conversion

    Common Stock

    2013-11-04$21.00/sh+4,000$84,000→ 0 total
  • Exercise/Conversion

    Common Stock

    2013-11-04$21.60/sh+2,000$43,200→ 142,815 total
  • Exercise/Conversion

    Non-Qualified Stock Option (Right to Buy)

    2013-11-04−4,000→ 0 total
    Exercise: $21.00Exp: 2015-02-10→ Common Stock (0 underlying)
  • Exercise/Conversion

    Non-Qualified Stock Option (Right to Buy

    2013-11-04−2,000→ 0 total
    Exercise: $21.60Exp: 2016-02-06→ Common Stock (0 underlying)
Holdings

  • Non-Qualified Stock Option (Right to Buy)

    Exercise: $29.65Exp: 2017-01-16→ Common Stock (2,000 underlying)
    2,000

  • Common Stock

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

  • Common Stock

    (indirect: By Spouse)
    69,875

  • Common Stock

    (indirect: HTLF Retirement Plan)
    6,151

  • Non-Qualified Stock Option (Right to Buy)

    Exercise: $18.60Exp: 2018-01-24→ Common Stock (2,000 underlying)
    2,000
Footnotes (6)
  • [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]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 13,359 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,
  • [F5]Includes 5,525 shares of Performance Based Restricted Stock.
  • [F6]Multiple line entry....see next line for total.

Documents

1 file

Issuer

HEARTLAND FINANCIAL USA INC

CIK 0000920112

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0000920112

Filing Metadata

Form type
4
Filed
Nov 6, 7:00 PM ET
Accepted
Nov 7, 9:57 AM ET
Size
15.5 KB
View on SEC.gov