0000920112-17-000237.txt : 20170815
0000920112-17-000237.hdr.sgml : 20170815
20170815151442
ACCESSION NUMBER: 0000920112-17-000237
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170810
FILED AS OF DATE: 20170815
DATE AS OF CHANGE: 20170815
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: 171033705
MAIL ADDRESS:
STREET 1: 1398 CENTRAL AVE
CITY: DUBUQUE
STATE: IA
ZIP: 52001
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
4
1
wf-form4_150282446800081.xml
FORM 4
X0306
4
2017-08-10
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
70364
I
Trust
Common Stock
2017-08-10
4
M
0
6437
47.10
A
76801
I
Trust
Common Stock
25000
I
Trust
Common Stock
27000
I
Spouse's Trust
Common Stock
15720
I
401(k)
2016 Performance Based Restricted Stock (3-year performance)
Common Stock
758.0
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
2017 Time-Based Restricted Stock
Common Stock
1133.0
0
D
2017 Time-Based Restricted Stock
2017-08-10
4
M
0
1133
47.10
D
Common Stock
0.0
0
D
2016 Time-Based Restricted Stock
Common Stock
953.0
0
D
2016 Time-Based Restricted Stock
2017-08-10
4
M
0
953
47.10
D
Common Stock
0.0
0
D
2016 Performance Based Restricted Stock (1-year performance)
Common Stock
1437.0
0
D
2016 Performance Based Restricted Stock (1-year performance)
2017-08-10
4
M
0
1437
47.10
D
Common Stock
0.0
0
D
2015 Time-Based Restricted Stock
Common Stock
2050.0
0
D
2015 Time-Based Restricted Stock
2017-08-10
4
M
0
2050
47.10
D
Common Stock
0.0
0
D
2015 Performance Based Restricted Stock
Common Stock
1990.0
0
D
2015 Performance Based Restricted Stock
2017-08-10
4
M
0
1990
47.10
D
Common Stock
0.0
0
D
2014 Time-Based Restricted Stock
Common Stock
1350.0
0
D
2014 Time-Based Restricted Stock
2017-08-10
4
M
0
1350
47.10
D
Common Stock
0.0
0
D
2013 Time-Based Restricted Stock
Common Stock
750.0
0
D
2013 Time-Based Restricted Stock
2017-08-10
4
M
0
750
47.10
D
Common Stock
0.0
0
D
These shares are held by Doulgas J Horstmann Trust under agreement dated 8/13/2011 FBO Douglas J Horstmann Declaration of Trust
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 Karen M Horstmann Declaration of Trust dated 8/13/2011, Karen M Horstmann, Trustee
Based on a plan statement dated June 2017
Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer.
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 in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020.
The vesting of these shares was accelerated per Restricted Stock Agreements due to qualified retirement.
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 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
2017-08-15