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