Filing Details

Accession Number:
0000920112-15-000213
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-11-16 15:32:57
Reporting Period:
2015-11-06
Filing Date:
2015-11-16
Accepted Time:
2015-11-16 15:32:57
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
920112 Heartland Financial Usa Inc HTLF State Commercial Banks (6022) 421405748
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1184318 J Kenneth Erickson 1398 Central Ave.
Dubuque IA 52001
Evp, Chief Credit Officer No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2015-11-06 5,000 $38.79 146,208 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 69,875 Indirect Spouse
Common Stock 2,604 Indirect 401(k)
Common Stock 6,151 Indirect HTLF Retirement Plan
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Non-Qualified Stock Option (Right To Buy) $29.65 2017-01-16 2,000 2,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2017-01-16 2,000 2,000 Direct
Footnotes
  1. Includes 10,042 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.
  2. Includes 4,568 shares of Performance Based Restricted Stock.
  3. Represents shares allocated to the reporting person's account under the Heartland Financial USA, Inc. Retirement Plan as a result of the Pension Plan Protectin Act of 2006.
  4. 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.