0000920112-19-000089.txt : 20190321 0000920112-19-000089.hdr.sgml : 20190321 20190321185851 ACCESSION NUMBER: 0000920112-19-000089 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190319 FILED AS OF DATE: 20190321 DATE AS OF CHANGE: 20190321 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lee Bruce K CENTRAL INDEX KEY: 0001331679 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15393 FILM NUMBER: 19698066 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_155320911423901.xml FORM 4 X0306 4 2019-03-19 0 0000920112 HEARTLAND FINANCIAL USA INC HTLF 0001331679 Lee Bruce K 1398 CENTRAL AVE DUBUQUE IA 52001 0 1 0 0 HTLF President and CEO Common Stock 19274 D Common Stock 2019-03-19 4 M 0 1456 45.77 A 20730 D 2019 Time-Based Restricted Stock Common Stock 0.0 0 D 2019 Time-Based Restricted Stock 2019-03-19 4 A 0 5328 45.77 A Common Stock 5328.0 0 D 2019 Performance Based Restricted Stock (3-year performance) Common Stock 0.0 0 D 2019 Performance Based Restricted Stock (3-year performance) 2019-03-19 4 A 0 5328 45.77 A Common Stock 5328.0 0 D 2018 Time-Based Restricted Stock Common Stock 1523.0 0 D 2018 Performance Based Restricted Stock (3-year performance) Common Stock 3045.0 0 D 2018 Performance Based Restricted Stock (1-year performance) Common Stock 514.0 0 D 2017 Time-Based Restricted Stock Common Stock 1090.0 0 D 2017 Performance Based Restricted Stock (3-year performance) Common Stock 1635.0 0 D 2017 Performance Based Restricted Stock (1-year performance) Common Stock 1995.0 0 D 2016 Performance Based Restricted Stock (3-year performance) Common Stock 1456.0 0 D 2016 Performance Based Restricted Stock (3-year performance) 2019-03-19 4 M 0 1456 45.77 D Common Stock 0.0 0 D 2015 Time-Based Restricted Stock Common Stock 1333.0 0 D 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 3-6-2020, 1/3 vest on 3-6-2021, and 1/3 vest on 3-6-2022. These restricted stock units vest in 2022 if certain performance measures are achieved by the Issuer 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. Reflects the forfeiture of 1,770 Performance Based Restricted Stock Units granted but not earned in 2018. 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. These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer. Reflects the forfeiture of 520 Performance Based Restricted Stock Units granted but not earned during performance period. 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. /s/ Bruce K. Lee 2019-03-21