Filing Details

Accession Number:
0001179110-11-012961
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-09-06 16:32:01
Reporting Period:
2011-09-02
Filing Date:
2011-09-06
Accepted Time:
2011-09-06 16:32:01
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
1436703 J John Berg 1398 Central Ave.
Dubuque IA 52001
Evp, Marketing & Sales 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 2011-09-02 1,000 $13.40 4,000 No 4 P Indirect IRA
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect IRA
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 7,729 Direct
Common Stock 6 Indirect Retirement Plan
Common Stock 200 Indirect IRA, Spouse
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 4,000 4,000 Direct
Common Stock Non-Qualified Stock Option (Right to Buy) $18.60 2018-01-24 5,000 5,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2017-01-16 4,000 4,000 Direct
2018-01-24 5,000 5,000 Direct
Footnotes
  1. These shares participate in a Dividend Reinvestment Plan.
  2. Includes 5,700 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.
  3. These shares are held in the name of John J. Berg & Ann K. Berg Jt Ten.
  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. 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 the date of the grant.
  6. Includes 1,000 shares held in street name at Schwab.
  7. 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.