0000920112-18-000104.txt : 20180315 0000920112-18-000104.hdr.sgml : 20180315 20180315172827 ACCESSION NUMBER: 0000920112-18-000104 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180313 FILED AS OF DATE: 20180315 DATE AS OF CHANGE: 20180315 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FOX BRIAN CENTRAL INDEX KEY: 0001504067 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15393 FILM NUMBER: 18693472 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_152114928213087.xml FORM 4 X0306 4 2018-03-13 0 0000920112 HEARTLAND FINANCIAL USA INC HTLF 0001504067 FOX BRIAN 1398 CENTRAL AVE DUBUQUE IA 52001 0 1 0 0 EVP, Operations Common Stock 2000 D Common Stock 11668.8689 I Trust 2018 Time-Based Restricted Stock Common Stock 0.0 0 D 2018 Time-Based Restricted Stock 2018-03-13 4 A 0 799 55.25 A Common Stock 799.0 0 D 2018 Performance Based Restricted Stock (3-year performance) Common Stock 0.0 0 D 2018 Performance Based Restricted Stock (3-year performance) 2018-03-13 4 A 0 1066 55.25 A Common Stock 1066.0 0 D 2018 Performance Based Restricted Stock (1-year performance) Common Stock 0.0 0 D 2018 Performance Based Restricted Stock (1-year performance) 2018-03-13 4 A 0 799 55.25 A Common Stock 799.0 0 D 2017 Time-Based Restricted Stock Common Stock 597.0 0 D 2017 Performance Based Restricted Stock (3-year performance) Common Stock 447.0 0 D 2017 Performance Based Restricted Stock (1-year performance) Common Stock 547.0 0 D 2016 Time-Based Restricted Stock Common Stock 439.0 0 D 2016 Performance Based Restricted Stock (3-year performance) Common Stock 1453.0 0 D 2016 Performance Based Restricted Stock (1-year performance) Common Stock 698.0 0 D 2015 Time-Based Restricted Stock Common Stock 1167.0 0 D 2014 Time-Based Restricted Stock Common Stock 980.0 0 D These shares are held in an IRA. These shares participate in a Dividend Reinvestment Plan. These shares held by Fox Revocable Trust dated 11/19/2001, Brian J Fox and Brenda J Fox, Trustees 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 on 3-6-2019, 1/3 vest on 3-6-2020, and 1/3 vest on 3-6-2021. These restricted stock units vest in 2021 if certain performance measures are achieved by the Issuer. These restricted stock units vest on 3-6-2021 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. 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. 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. /s/ Brian Fox 2018-03-15