0000920112-20-000015.txt : 20200106 0000920112-20-000015.hdr.sgml : 20200106 20200106161210 ACCESSION NUMBER: 0000920112-20-000015 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200102 FILED AS OF DATE: 20200106 DATE AS OF CHANGE: 20200106 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: 20509774 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_157834511310742.xml FORM 4 X0306 4 2020-01-02 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 28031 D Common Stock 2020-01-02 4 A 0 408 44.41 A 28439 D Common Stock 1163 I 401(k) 2015 Time-Based Restricted Stock Common Stock 417.0 0 D 2016 Performance Based Restricted Stock (3-year performance) Common Stock 0.0 0 D 2017 Performance Based Restricted Stock (1-year performance) Common Stock 631.0 0 D 2017 Performance Based Restricted Stock (3-year performance) Common Stock 516.0 0 D 2017 Time-Based Restricted Stock Common Stock 344.0 0 D 2018 Performance Based Restricted Stock (1-year performance) Common Stock 177.0 0 D 2018 Performance Based Restricted Stock (3-year performance) Common Stock 1047.0 0 D 2018 Time-Based Restricted Stock Common Stock 523.0 0 D 2019 Performance Based Restricted Stock (3-year performance) Common Stock 1622.0 0 D 2019 Time-Based Restricted Stock Common Stock 1622.0 0 D These shares are held in Jt. Ten. Reflects shares purchased through the Employee Stock Purchase Program 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 1-20-2018, 1/3 vest on 1-20-2019, and 1/3 vest on 1-20-2020. These restricted stock units vest in 2019 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 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. These restricted stock units vest on 3-6-2021 if certain performance measures are achieved by the Issuer. These restricted stock units vest in 2021 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 2022 if certain performance measures are achieved by the Issuer 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. /s/ Andrew E Townsend 2020-01-06