HEARTLAND FINANCIAL USA INC 4

4 · HEARTLAND FINANCIAL USA INC · Filed Mar 12, 2014

Form 4

Period: 2014-03-11

EVP, Marketing & Sales

Transactions

Holdings

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

Footnotes (7)

[F1]These shares participate in a Dividend Reinvestment Plan.
[F2]Includes 8,670 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]Includes 3,861 shares of Performance Based Restricted Stock.

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