Filing Details

Accession Number:
0001179110-11-011591
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-08-02 16:25:19
Reporting Period:
2011-08-02
Filing Date:
2011-08-02
Accepted Time:
2011-08-02 16:25:19
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
1291362 E Melvin Miller 1398 Central Ave.
Dubuque IA 52001
Chief Investment 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 2011-08-02 592 $16.40 17,250 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 6,230 Indirect IRA
Common Stock 7,680 Indirect Retirement Fund
Common Stock 3,899 Indirect HRT 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 $8.80 2012-01-15 6,000 6,000 Direct
Common Stock Non-Qualified Stock Option (Right to Buy $11.84 2013-01-21 4,500 4,500 Direct
Common Stock Non-Qualified Stock Option (Right to Buy $19.48 2014-01-20 3,000 3,000 Direct
Common Stock Non-Qualified Stock Option (Right to Buy) $21.00 2015-02-10 5,000 5,000 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 2,500 2,500 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2012-01-15 6,000 6,000 Direct
2013-01-21 4,500 4,500 Direct
2014-01-20 3,000 3,000 Direct
2015-02-10 5,000 5,000 Direct
2016-02-06 1,500 1,500 Direct
2017-01-16 1,500 1,500 Direct
2018-01-24 2,500 2,500 Direct
Footnotes
  1. Shares held jointly with reporting person's spouse.
  2. 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.
  3. Includes 593 Restricted Stock Awards granted under the 2005 Long-Term Incentive Plan.
  4. 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.
  5. 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.