0000920112-17-000071.txt : 20170123 0000920112-17-000071.hdr.sgml : 20170123 20170123173118 ACCESSION NUMBER: 0000920112-17-000071 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170119 FILED AS OF DATE: 20170123 DATE AS OF CHANGE: 20170123 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: Sloan Rodney CENTRAL INDEX KEY: 0001381317 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15393 FILM NUMBER: 17541783 MAIL ADDRESS: STREET 1: 1398 CENTRAL AVE CITY: DUBUQUE STATE: IA ZIP: 52001 4 1 wf-form4_148521066503790.xml FORM 4 X0306 4 2017-01-19 0 0000920112 HEARTLAND FINANCIAL USA INC HTLF 0001381317 Sloan Rodney 1398 CENTRAL AVE DUBUQUE IA 52001 0 1 0 0 EVP Chief Risk Officer Common Stock 3667 D Common Stock 2017-01-19 4 M 0 216 46.25 A 3883 D Common Stock 2017-01-20 4 M 0 214 46.85 A 4097 D 2013 Time-Based Restricted Stock Common Stock 700.0 0 D 2013 Time-Based Restricted Stock 2017-01-20 2017-01-23 4 F 0 350 0 D Common Stock 350.0 0 D 2014 Time-Based Restricted Stock Common Stock 950.0 0 D 2015 Performance Based Restricted Stock Common Stock 665.0 0 D 2015 Time-Based Restricted Stock Common Stock 950.0 0 D 2016 Performance Based Restricted Stock (1-year performance) Common Stock 1178.0 0 D 2016 Performance Based Restricted Stock (3-year performance) Common Stock 561.0 0 D 2016 Time-Based Restricted Stock Common Stock 1058.0 0 D 2016 Time-Based Restricted Stock 2017-01-19 4 F 0 353 0 D Common Stock 705.0 0 D 2017 Time-Based Restricted Stock Common Stock 720.0 0 D These shares are held as Jt. Ten. 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 1-22-2016, 1/3 vest on 1-22-2017, and 1/3 vest on 1-22-2018. 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. 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/ Rodney L. Sloan 2017-01-23