0001179110-11-008115.txt : 20110517 0001179110-11-008115.hdr.sgml : 20110517 20110517120025 ACCESSION NUMBER: 0001179110-11-008115 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110516 FILED AS OF DATE: 20110517 DATE AS OF CHANGE: 20110517 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BERG JOHN J CENTRAL INDEX KEY: 0001436703 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15393 FILM NUMBER: 11850491 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 edgar.xml FORM 4 - X0303 4 2011-05-16 0 0000920112 HEARTLAND FINANCIAL USA INC HTLF 0001436703 BERG JOHN J 1398 CENTRAL AVE. DUBUQUE IA 52001 0 1 0 0 EVP, Marketing & Sales Common Stock 2011-05-16 4 P 0 500 14.30 A 7728.624 D Common Stock 3000 I IRA Common Stock 6 I Retirement Plan Common Stock 200 I IRA, Wife Non-Qualified Stock Option (Right to Buy) 29.65 2017-01-16 Common Stock 4000 4000 D Non-Qualified Stock Option (Right to Buy) 18.60 2018-01-24 Common Stock 5000 5000 D These shares participate in a Dividend Reinvestment Plan. Includes 5,700 Restricted Stock Units (RSU). Each RSU represents the right to receive one share of common stock. The grant vests in three equal installments on the third, fourth and fifth anniversaries of the grant date. These shares are held in the name of John J. Berg & Ann K. Berg Jt Ten. 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. 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 the date of the grant. Includes 1,000 shares held in street name at Schwab. 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. /s/ John J. Berg 2011-05-17