HEARTLAND FINANCIAL USA INC 4

4 · HEARTLAND FINANCIAL USA INC · Filed Mar 14, 2017

Form 4

Period: 2017-03-11

EVP Commercial Banking

Transactions

Exercise/Conversion
Common Stock
2017-03-11$50.20/sh+304$15,261→ 16,102 total
Tax Payment
2014 Time-Based Restricted Stock
2017-03-11−442
→ Common Stock (883 underlying)

Holdings

2016 Performance Based Restricted Stock (3-year performance)
→ Common Stock (575 underlying)
2015 Time-Based Restricted Stock
→ Common Stock (1,325 underlying)
2014 Time-Based Restricted Stock
→ Common Stock (1,325 underlying)
Common Stock
15,798
2017 Time-Based Restricted Stock
→ Common Stock (775 underlying)
2017 Performance Based Restricted Stock (3-year performance)
→ Common Stock (387 underlying)
2017 Performance Based Restricted Stock (1-year performance)
→ Common Stock (775 underlying)
2016 Time-Based Restricted Stock
→ Common Stock (723 underlying)
2016 Performance Based Restricted Stock (1-year performance)
→ Common Stock (1,207 underlying)
2015 Performance Based Restricted Stock
→ Common Stock (928 underlying)
2013 Time-Based Restricted Stock
→ Common Stock (490 underlying)

Footnotes (12)

[F1]Of these shares 9,558 shares are held in Jt. Ten.
[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 3-11-2017, 1/3 vest on 3-11-2018, and 1/3 vest on 3-11-2019.
[F12]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.
[F2]Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
[F3]Of these restricted stock units, 1/3 vest in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020.
[F4]These restricted stock units vest in 2020 if certain performance measures are achieved by the Issuer.
[F5]These restricted stock units vest on 1-19-2020 if certain performance measures are achieved by the Issuer.
[F6]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.
[F7]These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer.
[F8]These restricted stock units vest on 1-19-2019 if certain performance measures are achieved by the Issuer.
[F9]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.

Documents

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