0000920112-17-000105.txt : 20170302 0000920112-17-000105.hdr.sgml : 20170302 20170302172326 ACCESSION NUMBER: 0000920112-17-000105 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170301 FILED AS OF DATE: 20170302 DATE AS OF CHANGE: 20170302 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: Murtha Mark G CENTRAL INDEX KEY: 0001516594 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15393 FILM NUMBER: 17660197 MAIL ADDRESS: STREET 1: 1398 CENTRAL AVENUE CITY: DUBUQUE STATE: IA ZIP: 52001 4 1 wf-form4_148849339109731.xml FORM 4 X0306 4 2017-03-01 0 0000920112 HEARTLAND FINANCIAL USA INC HTLF 0001516594 Murtha Mark G 1398 CENTRAL AVE DUBUQUE IA 52001 0 1 0 0 EVP HR and Org Development Common Stock 5833 D 2014 Time-Based Restricted Stock Common Stock 1375.0 0 D 2014 Time-Based Restricted Stock 2017-03-01 4 J 0 1375 0 D Common Stock 0.0 0 D 2015 Performance Based Restricted Stock Common Stock 963.0 0 D 2015 Performance Based Restricted Stock 2017-03-01 4 J 0 963 0 D Common Stock 0.0 0 D 2015 Time-Based Restricted Stock Common Stock 1375.0 0 D 2015 Time-Based Restricted Stock 2017-03-01 4 J 0 1375 0 D Common Stock 0.0 0 D 2016 Performance Based Restricted Stock (1-year performance) Common Stock 1236.0 0 D 2016 Performance Based Restricted Stock (1-year performance) 2017-03-01 4 J 0 1236 0 D Common Stock 0.0 0 D 2016 Performance Based Restricted Stock (3-year performance) Common Stock 589.0 0 D 2016 Performance Based Restricted Stock (3-year performance) 2017-03-01 4 J 0 589 0 D Common Stock 0.0 0 D 2016 Time-Based Restricted Stock Common Stock 741.0 741 D 2016 Time-Based Restricted Stock 2017-03-01 4 J 0 741 0 D Common Stock 0.0 0 D 2017 Time-Based Restricted Stock Common Stock 770.0 0 D 2017 Time-Based Restricted Stock 2017-03-01 4 J 0 770 0 D Common Stock 0.0 0 D 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 3-11-2017, 1/3 vest on 3-11-2018, and 1/3 vest on 3-11-2019. Forfeiture of Restricted Stock Units upon termination of employment 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/ Mark G. Murtha 2017-03-02