SEC Form 4 · accession 0000920112-17-000277

HEARTLAND FINANCIAL USA INC · HTLF

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP, Lending

Period of report

Nov 29, 2017

Accepted (ET)

Nov 30, 2017 · 9:08 am EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000920112

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F4	Nov 29, 2017	D	2,000	$50.34	D	8,720	I	401(k)
Common Stock^F1	holding	—	—		—	70,676	I	Trust
Common Stock^F2	holding	—	—		—	25,000	I	Trust
Common Stock^F3	holding	—	—		—	27,000	I	Spouse's Trust
Common Stock^F4	holding	—	—		—	10,720	I	401(k)

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
2016 Performance Based Restricted Stock (3-year performance)^F5,F6	—	holding	—	—	—	—	—	Common Stock	758	0	D
2017 Performance Based Restricted Stock (1-year performance)^F5,F7	—	holding	—	—	—	—	—	Common Stock	1,133	—	D
2017 Performance Based Restricted Stock (3-year performance)^F5,F8	—	holding	—	—	—	—	—	Common Stock	566	—	D

F1These shares are held by Doulgas J Horstmann Trust under agreement dated 8/13/2011 FBO Douglas J Horstmann Declaration of Trust
F2These shares are held by Douglas J Horstmann Declaration of Trust under agreement dated 8/13/2011, Douglas J Horstmann, Trustee
F3These shares are held by Karen M Horstmann Declaration of Trust dated 8/13/2011, Karen M Horstmann, Trustee
F4Based on a plan statement dated August 2016
F5Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
F6These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer.
F7These restricted stock units vest on 1-19-2020 if certain performance measures are achieved by the Issuer.
F8These restricted stock units vest in 2020 if certain performance measures are achieved by the Issuer.