0000920112-17-000041.txt : 20170119 0000920112-17-000041.hdr.sgml : 20170119 20170119170113 ACCESSION NUMBER: 0000920112-17-000041 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161230 FILED AS OF DATE: 20170119 DATE AS OF CHANGE: 20170119 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: Townsend Andrew E CENTRAL INDEX KEY: 0001665252 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15393 FILM NUMBER: 17536488 MAIL ADDRESS: STREET 1: 1398 CENTRAL AVE CITY: DUBUQUE STATE: IA ZIP: 52001 4 1 wf-form4_148486325986287.xml FORM 4 X0306 4 2016-12-30 0 0000920112 HEARTLAND FINANCIAL USA INC HTLF 0001665252 Townsend Andrew E 1398 CENTRAL AVE DUBUQUE IA 52001 0 1 0 0 EVP, Chief Credit Officer Common Stock 20938 D Common Stock 2016-12-30 4 A 0 186 31.68 A 21124 D Common Stock 2017-01-17 4 M 0 397 45.75 A 21521 D Common Stock 2017-01-18 4 M 0 711 46.40 A 22232 D Common Stock 1163 I 401(k) 2012 Time-Based Restricted Stock Common Stock 625.0 0 D 2012 Time-Based Restricted Stock 2017-01-17 4 F 0 625 0 D Common Stock 0.0 0 D 2013 Time-Based Restricted Stock Common Stock 933.0 0 D 2014 Performance Based Restricted Stock Common Stock 1119.0 0 D 2014 Performance Based Restricted Stock 2017-01-18 4 F 0 1119 0 D Common Stock 0.0 0 D 2014 Time-Based Restricted Stock Common Stock 1250.0 0 D 2015 Performance Based Restricted Stock Common Stock 875.0 0 D 2015 Time-Based Restricted Stock Common Stock 1250.0 0 D 2016 Performance Based Restricted Stock (1-year performance) Common Stock 1379.0 0 D 2016 Performance Based Restricted Stock (3-year performance) Common Stock 657.0 0 D 2016 Time-Based Restricted Stock Common Stock 2000.0 0 D 2016 Time-Based Restricted Stock Common Stock 1239.0 0 D 2017 Time-Based Restricted Stock Common Stock 1033.0 0 D These shares are held in Jt. Ten. These shares were acquired through the Company's Employee Stock Purchase Plan. Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. Of these restricted stock units, 1/3 vest on 1-17-2015, 1/3 vest on 1-17-2016, and 1/3 vest on 1-17-2017. Of these restricted stock units, 1/3 vest on 1-22-2016, 1/3 vest on 1-22-2017, and 1/3 vest on 1-22-2018. These restricted stock units vest on 1-18-2017 if certain performance measures are achieved by the Issuer. Of these restricted stock units, 1/3 vest on 3-11-2017, 1/3 vest on 3-11-2018, and 1/3 vest on 3-11-2019. These restricted stock units vest on 1-18-2018 if certain performance measures are achieved by the Issuer. 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. These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer. Reflects the addition of 65 shares earned in 2016 based on exceeding target performance metrics. Of these restricted stock units, 1/3 vest on 1-19-2017, 1/3 vest on 1-19-2018, and 1/3 vest on 1-19-2019. These restricted stock units were granted outside of the annual awarding of restricted stock units due to employment change. Of these restricted stock units, 1/3 vest in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020. /s/ Andrew E Townsend 2017-01-19