0000920112-17-000145.txt : 20170314 0000920112-17-000145.hdr.sgml : 20170314 20170314172029 ACCESSION NUMBER: 0000920112-17-000145 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: Sloan Rodney CENTRAL INDEX KEY: 0001381317 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15393 FILM NUMBER: 17688977 MAIL ADDRESS: STREET 1: 1398 CENTRAL AVE CITY: DUBUQUE STATE: IA ZIP: 52001 4 1 wf-form4_148952640632106.xml FORM 4 X0306 4 2017-03-11 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 4097 D Common Stock 2017-03-11 4 M 0 211 50.20 A 4308 D 2017 Time-Based Restricted Stock Common Stock 720.0 0 D 2017 Performance Based Restricted Stock (3-year performance) Common Stock 360.0 0 D 2017 Performance Based Restricted Stock (1-year performance) Common Stock 720.0 0 D 2016 Time-Based Restricted Stock Common Stock 705.0 0 D 2016 Performance Based Restricted Stock (3-year performance) Common Stock 561.0 0 D 2016 Performance Based Restricted Stock (1-year performance) Common Stock 1178.0 0 D 2015 Time-Based Restricted Stock Common Stock 950.0 0 D 2015 Performance Based Restricted Stock Common Stock 665.0 0 D 2014 Time-Based Restricted Stock Common Stock 950.0 0 D 2014 Time-Based Restricted Stock 2017-03-11 4 F 0 317 0 D Common Stock 633.0 0 D 2013 Time-Based Restricted Stock Common Stock 350.0 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 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/ Rodney L. Sloan 2017-03-14