0000920112-18-000020.txt : 20180122 0000920112-18-000020.hdr.sgml : 20180122 20180122114934 ACCESSION NUMBER: 0000920112-18-000020 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180118 FILED AS OF DATE: 20180122 DATE AS OF CHANGE: 20180122 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Townsend Andrew E CENTRAL INDEX KEY: 0001665252 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15393 FILM NUMBER: 18539171 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_151663976057331.xml FORM 4 X0306 4 2018-01-18 0 0000920112 HEARTLAND FINANCIAL USA INC HTLF 0001665252 Townsend Andrew E 1398 CENTRAL AVE DUBUQUE IA 52001 0 1 0 0 EVP, Chief Credit Officer Common Stock 23547 D Common Stock 2018-01-18 4 A 0 170 47.70 A 23717 D Common Stock 2018-01-18 4 M 0 572 54.85 A 24289 D Common Stock 1163 I 401(k) 2017 Time-Based Restricted Stock Common Stock 1033.0 0 D 2017 Performance Based Restricted Stock (3-year performance) Common Stock 516.0 0 D 2017 Performance Based Restricted Stock (1-year performance) Common Stock 631.0 0 D 2016 Time-Based Restricted Stock Common Stock 826.0 0 D 2016 Time-Based Restricted Stock Common Stock 1333.0 0 D 2016 Performance Based Restricted Stock (3-year performance) Common Stock 657.0 0 D 2016 Performance Based Restricted Stock (1-year performance) Common Stock 1379.0 0 D 2015 Time-Based Restricted Stock Common Stock 1250.0 0 D 2015 Performance Based Restricted Stock Common Stock 875.0 0 D 2015 Performance Based Restricted Stock 2018-01-18 4 F 0 875 54.85 D Common Stock 0.0 0 D 2014 Time-Based Restricted Stock Common Stock 833.0 0 D 2013 Time-Based Restricted Stock Common Stock 467.0 0 D These shares are held in Jt. Ten. Includes shares purchased through the Employee Stock Purchase Plan. 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. Reflects the forfeiture of 402 Performance Based Restricted Stock Units granted but not earned in 2017. 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 were granted outside of the annual awarding of restricted stock units due to employment change. These restricted stock units vest in 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/ Andrew E Townsend 2018-01-20