0000920112-17-000045.txt : 20170119 0000920112-17-000045.hdr.sgml : 20170119 20170119170233 ACCESSION NUMBER: 0000920112-17-000045 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161215 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: Fuller Lynn Heitz CENTRAL INDEX KEY: 0001644277 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15393 FILM NUMBER: 17536497 MAIL ADDRESS: STREET 1: 1398 CENTRAL AVE CITY: DUBUQUE STATE: IA ZIP: 52001 4 1 wf-form4_148486334070455.xml FORM 4 X0306 4 2016-12-15 0 0000920112 HEARTLAND FINANCIAL USA INC HTLF 0001644277 Fuller Lynn Heitz 1398 CENTRAL AVE DUBUQUE IA 52001 0 1 0 0 Retail Banking Director, SVP Common Stock 5277.8223 D Common Stock 2016-12-30 4 A 0 789 31.68 A 6066.8223 D Common Stock 2016-12-15 4 A 0 3 47 A 6069.8223 D Common Stock 2017-01-18 4 M 0 658 46.40 A 6727.8223 D 2014 Performance Based Restricted Stock Common Stock 1074.0 0 D 2014 Performance Based Restricted Stock 2017-01-18 4 F 0 1074 0 D Common Stock 0.0 0 D 2014 Time-Based Restricted Stock Common Stock 1200.0 0 D 2015 Performance Based Restricted Stock Common Stock 945.0 0 D 2015 Time-Based Restricted Stock Common Stock 1350.0 0 D 2016 Performance Based Restricted Stock (1-year performance) Common Stock 1092.0 0 D 2016 Performance Based Restricted Stock (3-year performance) Common Stock 520.0 0 D 2016 Time-Based Restricted Stock Common Stock 981.0 0 D 2017 Time-Based Restricted Stock Common Stock 706.0 0 D Of these shares 2,143.8223 are held in Jt. Ten. These shares were acquired through the Company's Employee Stock Purchase Plan. These shares were acquired through years of service provided to HTLF. Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. 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 52 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/ Lynn H. Fuller 2017-01-19