0000920112-17-000144.txt : 20170314
0000920112-17-000144.hdr.sgml : 20170314
20170314172003
ACCESSION NUMBER: 0000920112-17-000144
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170311
FILED AS OF DATE: 20170314
DATE AS OF CHANGE: 20170314
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: 17688974
MAIL ADDRESS:
STREET 1: 1398 CENTRAL AVE
CITY: DUBUQUE
STATE: IA
ZIP: 52001
4
1
wf-form4_148952638843072.xml
FORM 4
X0306
4
2017-03-11
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
Common Stock
2017-03-11
4
M
0
449
50.20
A
70364
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
2014 Time-Based Restricted Stock
2017-03-11
4
F
0
675
0
D
Common Stock
1350.0
1350
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.
/s/ Douglas J. Horstmann
2017-03-13