-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, RxqyqG7HuQgbHGE/8fs1eFiO4TBS6619ioQWsbmUWWLPLw195IAwnkP1mWyDz0VY A8VyLXAev0eCMYo4dIT4Xg== 0001179110-07-016093.txt : 20070806 0001179110-07-016093.hdr.sgml : 20070806 20070806160155 ACCESSION NUMBER: 0001179110-07-016093 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070802 FILED AS OF DATE: 20070806 DATE AS OF CHANGE: 20070806 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHMIDT JOHN K CENTRAL INDEX KEY: 0001184329 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15393 FILM NUMBER: 071027972 MAIL ADDRESS: STREET 1: 1398 CENTRAL AVE CITY: DUBUQUE STATE: IA ZIP: 52001 4 1 edgar.xml FORM 4 - X0202 4 2007-08-02 0 0000920112 HEARTLAND FINANCIAL USA INC HTLF 0001184329 SCHMIDT JOHN K 1398 CENTRAL AVE. DUBUQUE IA 52001 1 1 0 0 EVP & CFO Common Stock 2007-08-02 4 P 0 300 18.28 A 0 D Common Stock 2007-08-06 4 M 0 8000 12.00 A 132246 D Common Stock 14622 I 401(k) Common Stock 4226.170 I Minor Child Common Stock 4236.754 I Minor Child Common Stock 4780.826 I Minor Child Common Stock 11017 I Spouse Common Stock 4498 I HTLF Retirement Plan Non-Qualified Stock Option (Right to Buy 12.00 2007-08-06 4 M 0 8000 0 D 2009-01-02 Common Stock 8000 16000 D Non-Qualified Stock Option (Right to Buy 12.00 2010-01-17 Common Stock 9000 9000 D Non-Qualified Stock Option (Right to Buy 8.67 2011-06-01 Common Stock 9000 9000 D Non-Qualified Stock Option (Right to Buy 8.80 2012-01-15 Common Stock 3750 3750 D Non-Qualified Stock Option (Right to Buy 11.84 2013-01-21 Common Stock 10500 10500 D Non-Qualified Stock Option (Right to Buy) 19.48 2014-01-20 Common Stock 10000 10000 D Non-Qualified Stock Option (Right to Buy) 21.00 2015-02-10 Common Stock 10000 10000 D Non-Qualified Stock Option (Right to Buy 21.60 2016-02-06 Common Stock 4000 4000 D Non-Qualified Stock Option (Right to Buy) 29.65 2017-01-16 Common Stock 4000 4000 D Includes 1,549 shares held jointly with reporting person's spouse. Shares held as Donna L. Schmidt Cust for Nicole M. Schmidt. Shares held as Donna L. Schmidt Cust for Alexander J. Schmidt. Shares held as Donna L. Schmidt Cust for Benjamin N. Schmidt. Shares participate in a Dividend Reinvestment Plan. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed to be an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Represents options to buy granted under the Company's Stock Option Plan, a Rule 16(b)(3) plan, which options vest one-third per year beginning on the 3rd anniversary of date of grant. Includes 16,000 Restricted Stock Awards granted under the 2005 Long-Term Incentive Plan. Represents shares allocated to the reporting person's account under the Heartland Financial USA, Inc. Retirement Plan as a result of the Pension Plan Protection Act of 2006. Double Entry - see next line for total /s/ John K. Schmidt 2007-08-06 -----END PRIVACY-ENHANCED MESSAGE-----