0001179110-11-014223.txt : 20111013
0001179110-11-014223.hdr.sgml : 20111013
20111013164023
ACCESSION NUMBER: 0001179110-11-014223
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111011
FILED AS OF DATE: 20111013
DATE AS OF CHANGE: 20111013
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: 111139972
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 -
X0304
4
2011-10-11
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
2011-10-11
4
A
0
1500
0
A
9243.887
D
Common Stock
4000
I
IRA
Common Stock
6
I
Retirement Plan
Common Stock
200
I
IRA, Spouse
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.
Includes 1,500 shares of Performance Based Restricted Stock.
/s/ John J. Berg
2011-10-13