0001179110-12-016808.txt : 20121204
0001179110-12-016808.hdr.sgml : 20121204
20121204124245
ACCESSION NUMBER: 0001179110-12-016808
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121130
FILED AS OF DATE: 20121204
DATE AS OF CHANGE: 20121204
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HORSTMANN DOUGLAS J
CENTRAL INDEX KEY: 0001184326
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-15393
FILM NUMBER: 121239838
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
2012-11-30
0
0000920112
HEARTLAND FINANCIAL USA INC
HTLF
0001184326
HORSTMANN DOUGLAS J
1398 CENTRAL AVE.
DUBUQUE
IA
52001
0
1
0
0
SVP, Lending
Common Stock
2012-11-30
4
G
0
500
0
D
129061
D
Common Stock
10516
I
401(k)
Common Stock
27000
I
By Spouse
Common Stock
5204
I
HTLF Retirement Plan
Non-Qualified Stock Option (Right To Buy)
19.48
2014-01-20
Common Stock
3000
3000
D
Non-Qualified Stock Option (Right to Buy)
21.00
2015-02-10
Common Stock
3000
3000
D
Non-Qualified Stock Option (Right to Buy
21.60
2016-02-06
Common Stock
1500
1500
D
Non-Qualified Stock Option (Right to Buy)
29.65
2017-01-16
Common Stock
1500
1500
D
Non-Qualified Stock Option (Right to Buy)
18.60
2018-01-24
Common Stock
1500
1500
D
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 12,688 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 3,188 shares of Performance Based Restricted Stock.
/s/ Douglas J. Horstmann
2012-12-04