0001179110-13-017566.txt : 20131206
0001179110-13-017566.hdr.sgml : 20131206
20131206174136
ACCESSION NUMBER: 0001179110-13-017566
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20131204
FILED AS OF DATE: 20131206
DATE AS OF CHANGE: 20131206
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: HORSTMANN DOUGLAS J
CENTRAL INDEX KEY: 0001184326
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-15393
FILM NUMBER: 131264078
MAIL ADDRESS:
STREET 1: 1398 CENTRAL AVE
CITY: DUBUQUE
STATE: IA
ZIP: 52001
4
1
edgar.xml
FORM 4 -
X0306
4
2013-12-04
0
0000920112
HEARTLAND FINANCIAL USA INC
HTLF
0001184326
HORSTMANN DOUGLAS J
1398 CENTRAL AVE.
DUBUQUE
IA
52001
0
1
0
0
EVP, Lending
Common Stock
2013-12-04
4
G
0
1000
0
D
133358
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)
29.65
2017-01-16
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 13,272 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 5,389 shares of Performance Based Restricted Stock.
10,000 shares held in street name at LPL Financial.
/s/ Douglas J. Horstmann
2013-12-06