UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HORSTMANN DAVID L 1398 CENTRAL AVE DUBUQUE, IA 52001 |
 |  |  EVP - Finance/Corp Stategy |  |
/s/ David L. Horstmann | 08/07/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes 1,550 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 650 shares of Performance Based Restricted Stock. |
(3) | Shares held through the Wealth Management Group at Dubuque Bank & Trust. |
 Remarks: Mr. Horstmann previously served as Interim CFO and filed reports under Section 16. When a permanent CFO was appointed, Mr. Horstmann assumed a previous role where he was not in charge of a business unit, division or function, and did not have policy-making authority. On July 21, 2015, the Board of Directors of Heartland determined that Heartland's increased activities in acquisition and the increased authority that they were assigning Mr. Horstmann caused him to again be an "Officer" as defined in Rule 16a-1(f). |