HEARTLAND FINANCIAL USA INC 4/A

Accession 0000920112-17-000107

CIK 0000920112operating

View on SEC.gov Company Profile

Filed

Mar 9, 7:00 PM ET

Accepted

Mar 10, 8:37 AM ET

Size

29.8 KB

Accession

0000920112-17-000107

Insider Transaction Report

Form 4/AAmended

Period: 2017-01-19

HEARTLAND FINANCIAL USA INCHTLF

HORSTMANN DOUGLAS J

SVP, Lending

Transactions

Other
2016 Performance Based Restricted Stock (1-year performance)
2017-01-19+387
→ Common Stock (1,437 underlying)
Tax Payment
2012 Time-Based Restricted Stock
2017-01-17−1,063→ 0 total
→ Common Stock (0 underlying)
Tax Payment
2014 Performance Based Restricted Stock
2017-01-18−1,664→ 0 total
→ Common Stock (0 underlying)
Exercise/Conversion
Common Stock
2017-01-17$45.75/sh+652$29,829→ 78,045 total(indirect: By Trust)
Exercise/Conversion
Common Stock
2017-01-18$46.40/sh+1,043$48,395→ 79,088 total(indirect: By Trust)

Holdings

2015 Time-Based Restricted Stock
→ Common Stock (2,050 underlying)
0
Common Stock
(indirect: By 401(k))
15,720
2016 Time-Based Restricted Stock
→ Common Stock (1,429 underlying)
0
2012 Time-Based Restricted Stock
→ Common Stock (1,063 underlying)
0
2016 Performance Based Restricted Stock (3-year performance)
→ Common Stock (758 underlying)
0
Common Stock
(indirect: By Trust)
27,000
2014 Performance Based Restricted Stock
→ Common Stock (1,664 underlying)
0
2015 Performance Based Restricted Stock
→ Common Stock (1,990 underlying)
0
2017 Time-Based Restricted Stock
→ Common Stock (1,133 underlying)
2013 Time-Based Restricted Stock
→ Common Stock (1,500 underlying)
0
2014 Time-Based Restricted Stock
→ Common Stock (2,025 underlying)
0
Common Stock
(indirect: By Trust)
25,000
Common Stock
(indirect: By Trust)
77,393
2016 Performance Based Restricted Stock (1-year performance)
→ Common Stock (1,050 underlying)

Footnotes (17)

[F1]Based on a plan statement dated August 2016
[F10]These restricted stock units vest on 1-18-2018 if certain performance measures are achieved by the Issuer.
[F11]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.
[F12]These restricted stock units vest on 1-19-2019 if certain performance measures are achieved by the Issuer.
[F13]Reflects the forfeiture of 465 shares granted but not earned in 2016 based on target performance metrics.
[F14]Reflects the addition of 387 shares earned in 2016 based on target performance metrics (Amending RSU balance due to administration error in previous earn out calculation)
[F15]These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer.
[F16]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.
[F17]Of these restricted stock units, 1/3 vest in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020.
[F2]These shares are held by Karen M Horstmann Declaration of Trust dated 8/13/2011, Karen M Horstmann, Trustee
[F3]These shares are held by Douglas J Horstmann Declaration of Trust under agreement dated 8/13/2011, Douglas J Horstmann, Trustee
[F4]These shares are held by Doulgas J Horstmann Trust under agreement dated 8/13/2011 FBO Douglas J Horstmann Declaration of Trust
[F5]Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
[F6]Of these restricted stock units, 1/3 vest on 1-17-2015, 1/3 vest on 1-17-2016, and 1/3 vest on 1-17-2017.
[F7]Of these restricted stock units, 1/3 vest on 1-22-2016, 1/3 vest on 1-22-2017, and 1/3 vest on 1-22-2018.
[F8]These restricted stock units vest on 1-18-2017 if certain performance measures are achieved by the Issuer.
[F9]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.

Documents

1 file

4
wf-form4a_148915303024734.xml
FORM 4/A

Issuer

HEARTLAND FINANCIAL USA INC

CIK 0000920112

→

Entity typeoperating

IncorporatedDE

Related Parties

filerCIK 0000920112

Filing Metadata

Form type: 4/A
Filed: Mar 9, 7:00 PM ET
Accepted: Mar 10, 8:37 AM ET
Size: 29.8 KB

View on SEC.gov