0000920112-17-000044.txt : 20170119
0000920112-17-000044.hdr.sgml : 20170119
20170119170217
ACCESSION NUMBER: 0000920112-17-000044
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: WALTER FRANK E
CENTRAL INDEX KEY: 0001608079
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-15393
FILM NUMBER: 17536496
MAIL ADDRESS:
STREET 1: 1398 CENTRAL AVE
CITY: DUBUQUE
STATE: IA
ZIP: 52001
4
1
wf-form4_148486332388784.xml
FORM 4
X0306
4
2016-12-30
0
0000920112
HEARTLAND FINANCIAL USA INC
HTLF
0001608079
WALTER FRANK E
1398 CENTRAL AVE
DUBUQUE
IA
52001
0
1
0
0
EVP Commercial Banking
Common Stock
13258
D
Common Stock
2016-12-30
4
A
0
789
31.68
A
14047
D
Common Stock
2017-01-17
4
M
0
445
45.75
A
14492
D
Common Stock
2017-01-18
4
M
0
754
46.40
A
15246
D
2012 Time-Based Restricted Stock
Common Stock
700.0
0
D
2012 Time-Based Restricted Stock
2017-01-17
4
F
0
700
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
1186.0
0
D
2014 Performance Based Restricted Stock
2017-01-18
4
F
0
1186
0
D
Common Stock
0.0
0
D
2014 Time-Based Restricted Stock
Common Stock
1325.0
0
D
2015 Performance Based Restricted Stock
Common Stock
928.0
0
D
2015 Time-Based Restricted Stock
Common Stock
1325.0
0
D
2016 Performance Based Restricted Stock (1-year performance)
Common Stock
1207.0
0
D
2016 Performance Based Restricted Stock (3-year performance)
Common Stock
575.0
0
D
2016 Time-Based Restricted Stock
Common Stock
1084.0
0
D
2017 Time-Based Restricted Stock
Common Stock
775.0
0
D
Of these shares 9,558 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 on 1-19-2019 if certain performance measures are achieved by the Issuer.
Reflects the addition of 57 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/ Frank E. Walter
2017-01-19