0000920112-17-000042.txt : 20170119 0000920112-17-000042.hdr.sgml : 20170119 20170119170130 ACCESSION NUMBER: 0000920112-17-000042 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: FOX BRIAN CENTRAL INDEX KEY: 0001504067 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15393 FILM NUMBER: 17536490 MAIL ADDRESS: STREET 1: 1398 CENTRAL AVE CITY: DUBUQUE STATE: IA ZIP: 52001 4 1 wf-form4_148486327739298.xml FORM 4 X0306 4 2016-12-30 0 0000920112 HEARTLAND FINANCIAL USA INC HTLF 0001504067 FOX BRIAN 1398 CENTRAL AVE DUBUQUE IA 52001 0 1 0 0 EVP, Operations Common Stock 2000 D Common Stock 6630.2379 I Trust Common Stock 2016-12-30 4 A 0 586 31.68 A 7216.2379 I Trust Common Stock 2017-01-17 4 M 0 358 45.75 A 7574.2379 I Trust Common Stock 2017-01-18 4 M 0 807 46.40 A 8381.2379 I Trust 2012 Time-Based Restricted Stock Common Stock 584.0 0 D 2012 Time-Based Restricted Stock 2017-01-17 4 F 0 584 0 D Common Stock 0.0 0 D 2013 Time-Based Restricted Stock Common Stock 980.0 0 D 2014 Performance Based Restricted Stock Common Stock 1316.0 0 D 2014 Performance Based Restricted Stock 2017-01-17 4 F 0 1316 0 D Common Stock 0.0 0 D 2014 Time-Based Restricted Stock Common Stock 1470.0 0 D 2015 Performance Based Restricted Stock Common Stock 1225.0 0 D 2015 Time-Based Restricted Stock Common Stock 1750.0 0 D 2016 Performance Based Restricted Stock (1-year performance) Common Stock 1465.0 0 D 2016 Performance Based Restricted Stock (3-year performance) Common Stock 698.0 0 D 2016 Time-Based Restricted Stock Common Stock 1316.0 0 D 2017 Time-Based Restricted Stock Common Stock 896.0 0 D These shares are held in an IRA. These shares participate in a Dividend Reinvestment Plan. These shares held by Fox Revocable Trust dated 11/19/2001, Brian J Fox and Brenda J Fox, Trustees 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 on 1-19-2019 if certain performance measures are achieved by the Issuer. Reflects the addition of 69 shares earned in 2016 based on exceeding target performance metrics. These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer. 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. 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/ Brian Fox 2017-01-19