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HEARTLAND FINANCIAL USA INC·4

Mar 14, 5:20 PM ET

HEARTLAND FINANCIAL USA INC 4

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

Insider Transaction Report

Form 4
Period: 2017-03-11
HEARTLAND FINANCIAL USA INCHTLF
HORSTMANN DOUGLAS J
SVP, Lending
Transactions
  • Tax Payment

    2014 Time-Based Restricted Stock

    2017-03-11−675→ 1,350 total
    → Common Stock (1,350 underlying)
  • Exercise/Conversion

    Common Stock

    2017-03-11$50.20/sh+449$22,540→ 70,364 total(indirect: By Trust)
Holdings

  • Common Stock

    (indirect: By Trust)
    25,000

  • 2016 Performance Based Restricted Stock (3-year performance)

    → Common Stock (758 underlying)
    0

  • 2017 Performance Based Restricted Stock (3-year performance)

    → Common Stock (566 underlying)

  • 2017 Performance Based Restricted Stock (1-year performance)

    → Common Stock (1,133 underlying)

  • 2016 Time-Based Restricted Stock

    → Common Stock (953 underlying)
    953

  • 2015 Time-Based Restricted Stock

    → Common Stock (2,050 underlying)
    0

  • 2014 Time-Based Restricted Stock

    → Common Stock (2,025 underlying)
    0

  • 2013 Time-Based Restricted Stock

    → Common Stock (750 underlying)
    0

  • Common Stock

    (indirect: By 401(k))
    15,720

  • 2017 Time-Based Restricted Stock

    → Common Stock (1,133 underlying)

  • Common Stock

    (indirect: By Trust)
    27,000

  • Common Stock

    (indirect: By Trust)
    69,915

  • 2016 Performance Based Restricted Stock (1-year performance)

    → Common Stock (1,437 underlying)

  • 2015 Performance Based Restricted Stock

    → Common Stock (1,990 underlying)
    0
Footnotes (15)
  • [F1]Based on a plan statement dated August 2016
  • [F10]These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer.
  • [F11]These restricted stock units vest on 1-19-2019 if certain performance measures are achieved by the Issuer.
  • [F12]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.
  • [F13]These restricted stock units vest on 1-18-2018 if certain performance measures are achieved by the Issuer.
  • [F14]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.
  • [F15]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]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 in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020.
  • [F7]These restricted stock units vest in 2020 if certain performance measures are achieved by the Issuer.
  • [F8]These restricted stock units vest on 1-19-2020 if certain performance measures are achieved by the Issuer.
  • [F9]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.

Documents

1 file
  • 4
    wf-form4_148952638843072.xmlPrimary

    FORM 4