HORSTMANN DOUGLAS J 4

4 · HEARTLAND FINANCIAL USA INC · Filed Nov 27, 2017

Form 4

Period: 2017-11-24

SVP, Lending

Transactions

Disposition to Issuer
Common Stock
2017-11-24$49.99/sh−2,000$99,980→ 70,676 total(indirect: By Trust)

Holdings

Common Stock
(indirect: By Trust)
25,000
2017 Performance Based Restricted Stock (3-year performance)
→ Common Stock (566 underlying)
Common Stock
(indirect: By 401(k))
10,720
2017 Performance Based Restricted Stock (1-year performance)
→ Common Stock (1,133 underlying)
Common Stock
(indirect: By Trust)
72,676
Common Stock
(indirect: By Trust)
27,000
2016 Performance Based Restricted Stock (3-year performance)
→ Common Stock (758 underlying)
0

Footnotes (8)

[F1]These shares are held by Doulgas J Horstmann Trust under agreement dated 8/13/2011 FBO Douglas J Horstmann Declaration of Trust
[F2]These shares are held by Douglas J Horstmann Declaration of Trust under agreement dated 8/13/2011, Douglas J Horstmann, Trustee
[F3]These shares are held by Karen M Horstmann Declaration of Trust dated 8/13/2011, Karen M Horstmann, Trustee
[F4]Based on a plan statement dated August 2016
[F5]Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
[F6]These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer.
[F7]These restricted stock units vest on 1-19-2020 if certain performance measures are achieved by the Issuer.
[F8]These restricted stock units vest in 2020 if certain performance measures are achieved by the Issuer.

Documents

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