0000920112-15-000155.txt : 20150723 0000920112-15-000155.hdr.sgml : 20150723 20150723121452 ACCESSION NUMBER: 0000920112-15-000155 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150721 FILED AS OF DATE: 20150723 DATE AS OF CHANGE: 20150723 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: HORSTMANN DAVID L CENTRAL INDEX KEY: 0001580896 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15393 FILM NUMBER: 151001715 MAIL ADDRESS: STREET 1: 1398 CENTRAL AVE CITY: DUBUQUE STATE: IA ZIP: 52001 3 1 wf-form3_143766808202609.xml FORM 3 X0206 3 2015-07-21 0 0000920112 HEARTLAND FINANCIAL USA INC HTLF 0001580896 HORSTMANN DAVID L 1398 CENTRAL AVE DUBUQUE IA 52001 0 1 0 0 EVP - Finance/Corp Stategy Common Stock 2200 D Common Stock 1066 I Trust Common Stock 5000 I IRA Non-Qualified Stock Option (Right To Buy) 0.0 2016-02-06 Common Stock 500.0 D Non-Qualified Stock Option (Right To Buy) 0.0 2017-01-16 Common Stock 1000.0 D Non-Qualified Stock Option (Right To Buy) 0.0 2018-01-24 Common Stock 1500.0 D 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. Includes 650 shares of Performance Based Restricted Stock. Shares held through the Wealth Management Group at Dubuque Bank & Trust. 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. 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). /s/ David L. Horstmann 2015-07-23