0000920112-17-000128.txt : 20170310 0000920112-17-000128.hdr.sgml : 20170310 20170310162414 ACCESSION NUMBER: 0000920112-17-000128 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170308 FILED AS OF DATE: 20170310 DATE AS OF CHANGE: 20170310 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: HORSTMANN DOUGLAS J CENTRAL INDEX KEY: 0001184326 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15393 FILM NUMBER: 17682455 MAIL ADDRESS: STREET 1: 1398 CENTRAL AVE CITY: DUBUQUE STATE: IA ZIP: 52001 4 1 wf-form4_148918103912480.xml FORM 4 X0306 4 2017-03-08 0 0000920112 HEARTLAND FINANCIAL USA INC HTLF 0001184326 HORSTMANN DOUGLAS J 1398 CENTRAL AVE. DUBUQUE IA 52001 0 1 0 0 EVP, Lending Common Stock 15720 I 401(k) Common Stock 27000 I Spouse's Trust Common Stock 25000 I Trust Common Stock 69915 I Trust 2017 Time-Based Restricted Stock Common Stock 1133.0 0 D 2017 Performance Based Restricted Stock (3-year performance) Common Stock 566.0 0 D 2017 Performance Based Restricted Stock (1-year performance) Common Stock 1133.0 0 D 2016 Time-Based Restricted Stock Common Stock 953.0 953 D 2016 Performance Based Restricted Stock (3-year performance) Common Stock 758.0 0 D 2016 Performance Based Restricted Stock (1-year performance) Common Stock 1437.0 0 D 2015 Time-Based Restricted Stock Common Stock 2050.0 0 D 2015 Performance Based Restricted Stock Common Stock 1990.0 0 D 2014 Time-Based Restricted Stock Common Stock 2025.0 0 D 2013 Time-Based Restricted Stock Common Stock 750.0 0 D Based on a plan statement dated August 2016 These shares are held by Karen M Horstmann Declaration of Trust dated 8/13/2011, Karen M Horstmann, Trustee These shares are held by Douglas J Horstmann Declaration of Trust under agreement dated 8/13/2011, Douglas J Horstmann, Trustee These shares are held by Doulgas J Horstmann Trust under agreement dated 8/13/2011 FBO Douglas J Horstmann Declaration of Trust 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 in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020. These restricted stock units vest in 2020 if certain performance measures are achieved by the Issuer. These restricted stock units vest on 1-19-2020 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. These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer. These restricted stock units vest on 1-19-2019 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 1-18-2018 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. 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. added 2017 Performance Based RSU grant awards /s/ Douglas J. Horstmann 2017-03-10