0000920112-17-000072.txt : 20170123 0000920112-17-000072.hdr.sgml : 20170123 20170123173136 ACCESSION NUMBER: 0000920112-17-000072 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: WALTER FRANK E CENTRAL INDEX KEY: 0001608079 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15393 FILM NUMBER: 17541784 MAIL ADDRESS: STREET 1: 1398 CENTRAL AVE CITY: DUBUQUE STATE: IA ZIP: 52001 4 1 wf-form4_148521068310208.xml FORM 4 X0306 4 2017-01-19 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 15246 D Common Stock 2017-01-19 4 M 0 229 46.25 A 15475 D Common Stock 2017-01-20 4 M 0 323 46.85 A 15798 D 2013 Time-Based Restricted Stock Common Stock 980.0 0 D 2013 Time-Based Restricted Stock 2017-01-20 2017-01-23 4 F 0 490 0 D Common Stock 490.0 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 2016 Time-Based Restricted Stock 2017-01-19 4 F 0 361 0 D Common Stock 723.0 0 D 2017 Time-Based Restricted Stock Common Stock 775.0 0 D Of these shares 9,558 shares are held in Jt. Ten. 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/ Frank E. Walter 2017-01-23