0001179110-12-014008.txt : 20120913
0001179110-12-014008.hdr.sgml : 20120913
20120913161007
ACCESSION NUMBER: 0001179110-12-014008
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120912
FILED AS OF DATE: 20120913
DATE AS OF CHANGE: 20120913
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: 121090295
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
2012-09-12
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
2012-09-12
4
M
0
10000
19.48
A
0
D
Common Stock
2012-09-12
4
F
0
8089
27.17
D
166485
D
Common Stock
14622
I
401(k)
Common Stock
4916.484
I
Minor Child
Common Stock
4907.768
I
Son
Common Stock
5482.497
I
Minor Child
Common Stock
12173
I
Spouse
Common Stock
4498
I
HTLF Retirement Plan
Non-Qualified Stock Option (Right to Buy)
19.48
2012-09-12
4
M
0
10000
0
D
2014-01-20
Common Stock
0
0
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
Non-Qualified Stock Option (Right to Buy)
18.60
2018-01-24
Common Stock
4000
4000
D
Includes 2,088 shares held jointly with reporting person's spouse.
Shares held as Donna L. Schmidt Cust for Nicole M. Schmidt.
Shares held as Alexander J. Schmidt TOD Donna L 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.
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 20,300 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.
Includes 5,600 shares of Performance Based Restricted Stock.
Includes 1,000 shares held at Raymond James in street name.
Multi-line transaction...see last line for total.
/s/ John K. Schmidt
2012-09-13