0001179110-13-011885.txt : 20130718 0001179110-13-011885.hdr.sgml : 20130718 20130718113512 ACCESSION NUMBER: 0001179110-13-011885 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130716 FILED AS OF DATE: 20130718 DATE AS OF CHANGE: 20130718 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 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: 13974235 MAIL ADDRESS: STREET 1: 1398 CENTRAL AVE CITY: DUBUQUE STATE: IA ZIP: 52001 4 1 edgar.xml FORM 4 - X0306 4 2013-07-16 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 2013-07-16 4 A 0 1000 0 A 174411 D Common Stock 14622 I 401(k) Common Stock 4991.8637 I Minor Child Common Stock 5566.5541 I Minor Child Common Stock 3460.0162 I Son Common Stock 12173 I Spouse Common Stock 4498 I HTLF Retirement Plan Non-Qualified Stock Option (Right to Buy) 29.65 2017-01-16 Common Stock 4000 4000 D Includes 2,506 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 21,725 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 9,525 shares of Performance Based Restricted Stock. Includes 1,000 shares held at Raymond James in street name. Includes 1,000 shares of Restricted Stock Units granted under the 2012 Long-Term Incentive Plan. These shares will vest the earlier of 2014 Annual Meeting or July 16,2014. /s/ John K. Schmidt 2013-07-18