HEARTLAND FINANCIAL USA INC 4

4 · HEARTLAND FINANCIAL USA INC · Filed Jan 3, 2017

Form 4

Period: 2016-12-15

EVP HR and Org Development

Transactions

Holdings

2015 Time-Based Restricted Stock
→ Common Stock (1,375 underlying)
2016 Time-Based Restricted Stock
→ Common Stock (1,111 underlying)
2016 Performance Based Restricted Stock (3-year performance)
→ Common Stock (589 underlying)
2015 Performance Based Restricted Stock
→ Common Stock (963 underlying)
2014 Performance Based Restricted Stock
→ Common Stock (1,231 underlying)
2014 Time-Based Restricted Stock
→ Common Stock (1,375 underlying)
2013 Time-Based Restricted Stock
→ Common Stock (1,000 underlying)
2016 Performance Based Restricted Stock (1-year performance)
→ Common Stock (1,178 underlying)
Common Stock
4,232

Footnotes (10)

[F1]Shares were received as an Employee Service Award
[F10]Of these restricted stock units, 1/3 vest on 1-19-2017, 1/3 vest on 1-19-2018, and 1/3 vest on 1-19-2019.
[F2]Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
[F3]These restricted stock units will vest on 1/18/2017 per employment agreement terms.
[F4]These restricted stock units vest on 1-18-2017 if certain performance measures are achieved by the Issuer.
[F5]Of these restricted stock units, 1/3 vest on 3-11-2017, 1/3 vest on 3-11-2018, and 1/3 vest on 3-11-2019.
[F6]These restricted stock units vest on 1-18-2018 if certain performance measures are achieved by the Issuer.
[F7]Of these restricted stock units, 1/3 vest on 1-20-2018, 1/3 vest on 1-20-2019, and 1/3 vest on 1-20-2020.
[F8]These restricted stock units vest on 1-19-2019 if certain performance measures are achieved by the Issuer.
[F9]These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer.

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