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