Filing Details

Accession Number:
0001179110-11-002398
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-02-10 16:49:44
Reporting Period:
2011-02-09
Filing Date:
2011-02-10
Accepted Time:
2011-02-10 16:49:44
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
1184328 J Paul Peckosh 1398 Central Ave.
Dubuque IA 52001
Evp, Trust 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 Acquisiton 2011-02-09 750 $8.67 0 No 4 M Direct
Common Stock Acquisiton 2011-02-09 750 $8.80 0 No 4 M Direct
Common Stock Acquisiton 2011-02-09 3,000 $11.84 0 No 4 M Direct
Common Stock Disposition 2011-02-09 3,484 $16.79 83,958 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Non-Qualified Stock Option (Right to Buy Disposition 2011-02-09 750 $0.00 0 $8.67
Common Stock Non-Qualified Stock Option (Right to Buy Disposition 2011-02-09 750 $0.00 0 $8.80
Common Stock Non-Qualified Stock Option (Right to Buy Disposition 2011-02-09 3,000 $0.00 0 $11.84
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2011-06-01 No 4 M Direct
0 2012-01-15 No 4 M Direct
0 2013-01-21 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 8,232 Indirect 401(k)
Common Stock 2,275 Indirect By Spouse
Common Stock 6,609 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) $19.48 2014-01-20 2,000 2,000 Direct
Common Stock Non-Qualified Stock Option (Right to Buy) $21.00 2015-02-10 2,000 2,000 Direct
Common Stock Non-Qualified Stock Option (Right to Buy $21.60 2016-02-06 1,500 1,500 Direct
Common Stock Non-Qualified Stock Option (Right to Buy) $29.65 2017-01-16 1,500 1,500 Direct
Common Stock Non-Qualified Stock Option (Right to Buy) $18.60 2018-01-24 1,500 1,500 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2014-01-20 2,000 2,000 Direct
2015-02-10 2,000 2,000 Direct
2016-02-06 1,500 1,500 Direct
2017-01-16 1,500 1,500 Direct
2018-01-24 1,500 1,500 Direct
Footnotes
  1. Includes 4,940 shares held jointly with reporting person's spouse.
  2. 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.
  3. 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.
  4. Includes 593 Restricted Stock Awards granted under the 2005 Long-Term Incentive Plan.
  5. 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.
  6. Includes 3,800 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.
  7. Multiple line entry -- see below for total.