0000920112-14-000065.txt : 20141110 0000920112-14-000065.hdr.sgml : 20141110 20141110165119 ACCESSION NUMBER: 0000920112-14-000065 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141030 FILED AS OF DATE: 20141110 DATE AS OF CHANGE: 20141110 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HEARTLAND FINANCIAL USA INC CENTRAL INDEX KEY: 0000920112 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 421405748 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1398 CENTRAL AVE CITY: DUBUQUE STATE: IA ZIP: 52001 BUSINESS PHONE: 5635892000 MAIL ADDRESS: STREET 1: 1398 CENTRAL AVE CITY: DUBUQUE STATE: IA ZIP: 52001 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ERICKSON KENNETH J CENTRAL INDEX KEY: 0001184318 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15393 FILM NUMBER: 141209375 MAIL ADDRESS: STREET 1: 1398 CENTRAL AVE CITY: DUBUQUE STATE: IA ZIP: 52001 4 1 wf-form4_141565626863203.xml FORM 4 X0306 4 2014-10-30 0 0000920112 HEARTLAND FINANCIAL USA INC HTLF 0001184318 ERICKSON KENNETH J 1398 CENTRAL AVE. DUBUQUE IA 52001 0 1 0 0 EVP, Chief Credit Officer Common Stock 2014-10-30 4 M 0 2000 18.60 A 148915 D Common Stock 2604 I 401(k) Common Stock 69875 I Spouse Common Stock 6151 I HTLF Retirement Plan Non-Qualified Stock Option (Right To Buy) 29.65 2017-01-16 Common Stock 2000.0 2000 D Non-Qualified Stock Option (Right To Buy) 18.6 2014-10-30 4 M 0 2000 0 D 2018-01-24 Common Stock 0.0 0 D Includes 12,242 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, Includes 7,575 shares of Performance Based Restricted Stock. 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. Represents options to buy granted under the Company's 1993 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. /s/ Kenneth J. Erickson 2014-11-10