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