0001179110-12-013455.txt : 20120829 0001179110-12-013455.hdr.sgml : 20120829 20120829164628 ACCESSION NUMBER: 0001179110-12-013455 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120828 FILED AS OF DATE: 20120829 DATE AS OF CHANGE: 20120829 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ERICKSON KENNETH J CENTRAL INDEX KEY: 0001184318 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15393 FILM NUMBER: 121063686 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 - X0306 4 2012-08-28 0 0000920112 HEARTLAND FINANCIAL USA INC HTLF 0001184318 ERICKSON KENNETH J 1398 CENTRAL AVE. DUBUQUE IA 52001 0 1 0 0 EVP, Chief Credit Officer Common Stock 2012-08-28 4 M 0 4000 19.48 A 132265 D Common Stock 2604 I 401(k) Common Stock 69875 I Spouse Common Stock 6151 I HTLF Retirement Plan Non-Qualified Stock Option (Right to Buy 19.48 2012-08-28 4 M 0 4000 0 D 2014-01-20 Common Stock 0 0 D Non-Qualified Stock Option (Right to Buy) 21.00 2015-02-10 Common Stock 4000 4000 D Non-Qualified Stock Option (Right to Buy 21.60 2016-02-06 Common Stock 2000 2000 D Non-Qualified Stock Option (Right to Buy) 29.65 2017-01-16 Common Stock 2000 2000 D Non-Qualified Stock Option (Right to Buy) 18.60 2018-01-24 Common Stock 2000 2000 D Represents options to buy granted under the Company's 1993 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. 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 any other purpose. 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. Includes 12,750 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, Includes 3,250 shares of Performance Based Restricted Stock. /s/ Kenneth J. Erickson 2012-08-29