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