Townsend Andrew E 4

Accession 0000920112-20-000028

CIK 0000920112other

Filed

Jan 22, 7:00 PM ET

Accepted

Jan 23, 3:19 PM ET

Size

28.3 KB

Accession

0000920112-20-000028

Form 4

Period: 2020-01-23

EVP, Chief Credit Officer

Transactions

Tax Payment
2015 Time-Based Restricted Stock
2020-01-23$49.61/sh−417$20,687→ 0 total
→ Common Stock (0 underlying)
Exercise/Conversion
Common Stock
2020-01-23$49.61/sh+272$13,494→ 28,711 total
Exercise/Conversion
Common Stock
2020-01-23$49.61/sh+224$11,113→ 28,935 total
Exercise/Conversion
Common Stock
2020-01-23$49.61/sh+412$20,439→ 29,347 total
Tax Payment
2017 Performance Based Restricted Stock (1-year performance)
2020-01-23$49.61/sh−630$31,254→ 0 total
→ Common Stock (0 underlying)
Tax Payment
2017 Time-Based Restricted Stock
2020-01-23$49.61/sh−344$17,066→ 0 total
→ Common Stock (0 underlying)

Holdings

Common Stock
(indirect: By 401(k))
1,163
2015 Time-Based Restricted Stock
→ Common Stock (417 underlying)
0
2017 Performance Based Restricted Stock (3-year performance)
→ Common Stock (516 underlying)
0
2018 Performance Based Restricted Stock (3-year performance)
→ Common Stock (1,047 underlying)
0
2019 Performance Based Restricted Stock (3-year performance)
→ Common Stock (1,622 underlying)
0
Common Stock
28,439
2017 Time-Based Restricted Stock
→ Common Stock (344 underlying)
0
2018 Performance Based Restricted Stock (1-year performance)
→ Common Stock (177 underlying)
0
2016 Performance Based Restricted Stock (3-year performance)
→ Common Stock (0 underlying)
0
2017 Performance Based Restricted Stock (1-year performance)
→ Common Stock (630 underlying)
0
2018 Time-Based Restricted Stock
→ Common Stock (523 underlying)
0
2019 Time-Based Restricted Stock
→ Common Stock (1,622 underlying)
0

Footnotes (12)

[F1]These shares are held in Jt. Ten.
[F10]Of these restricted stock units, 1/3 vest on 3-6-2019, 1/3 vest on 3-6-2020, and 1/3 vest on 3-6-2021.
[F11]These restricted stock units vest in 2022 if certain performance measures are achieved by the Issuer
[F12]Of these restricted stock units, 1/3 vest on 3-6-2020, 1/3 vest on 3-6-2021, and 1/3 vest on 3-6-2022.
[F2]Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
[F3]Of these restricted stock units, 1/3 vest on 1-20-2018, 1/3 vest on 1-20-2019, and 1/3 vest on 1-20-2020.
[F4]These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer.
[F5]These restricted stock units vest on 1-19-2020 if certain performance measures are achieved by the Issuer.
[F6]These restricted stock units vest in 2020 if certain performance measures are achieved by the Issuer.
[F7]Of these restricted stock units, 1/3 vest in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020.
[F8]These restricted stock units vest on 3-6-2021 if certain performance measures are achieved by the Issuer.
[F9]These restricted stock units vest in 2021 if certain performance measures are achieved by the Issuer.

Documents

1 file

HEARTLAND FINANCIAL USA INC

CIK 0000920112

Entity typeother