HEARTLAND FINANCIAL USA INC 4

4 · HEARTLAND FINANCIAL USA INC · Filed Jan 27, 2014

Form 4

Period: 2014-01-24

EVP, Marketing & Sales

Transactions

Holdings

Non-Qualified Stock Option (Right to Buy)
Exercise: $29.65Exp: 2017-01-16→ Common Stock (4,000 underlying)
4,000
Non-Qualified Stock Option (Right to Buy)
Exercise: $18.60Exp: 2018-01-24→ Common Stock (5,000 underlying)
5,000
Common Stock
(indirect: By IRA)
4,000
Common Stock
(indirect: By Spouse)
200
Common Stock
(indirect: Retirement Plan)
6

Footnotes (9)

[F1]These shares participate in a Dividend Reinvestment Plan.
[F2]Includes 7,370 Restricted Stock Units (RSU). Each RSU represents the right to receive one share of common stock. The grant vests in three equal installments on the third, fourth and fifth anniversaries of the grant date.
[F3]These shares are held in the name of John J. Berg & Ann K. Berg Jt Ten.
[F4]Represents shares allocated to the reporting person's account under the Heartland Financial USA, Inc. Retirement Plan as a result of the Pension Plan Protection Act of 2006.
[F5]Represents options to buy granted under the Company's Stock Option Plan, a rule 16(b)(3) plan, which options vest one-third per year beginning on the 3rd anniversary of the date of the grant.
[F6]Includes 1,000 shares held in street name at Schwab.
[F7]The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed to be an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
[F8]Includes 2,561 shares of Performance Based Restricted Stock.
[F9]Includes 521 shares purchased at $27.35 through the Employee Stock Purchase Plan on 12-31-13.

Documents

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