0001179110-11-016131.txt : 20111206 0001179110-11-016131.hdr.sgml : 20111206 20111206163146 ACCESSION NUMBER: 0001179110-11-016131 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111206 FILED AS OF DATE: 20111206 DATE AS OF CHANGE: 20111206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HORSTMANN DOUGLAS J CENTRAL INDEX KEY: 0001184326 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15393 FILM NUMBER: 111246098 MAIL ADDRESS: STREET 1: 1398 CENTRAL AVE CITY: DUBUQUE STATE: IA ZIP: 52001 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HEARTLAND FINANCIAL USA INC CENTRAL INDEX KEY: 0000920112 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 421405748 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1398 CENTRAL AVE CITY: DUBUQUE STATE: IA ZIP: 52001 BUSINESS PHONE: 5635892000 MAIL ADDRESS: STREET 1: 1398 CENTRAL AVE CITY: DUBUQUE STATE: IA ZIP: 52001 4 1 edgar.xml FORM 4 - X0304 4 2011-12-06 0 0000920112 HEARTLAND FINANCIAL USA INC HTLF 0001184326 HORSTMANN DOUGLAS J 1398 CENTRAL AVE. DUBUQUE IA 52001 0 1 0 0 SVP, Lending Common Stock 2011-12-06 4 G 0 1700 0 D 122633 D Common Stock 10516 I 401(k) Common Stock 27000 I By Spouse Common Stock 5204 I HTLF Retirement Plan Non-Qualified Stock Option (Right to Buy 11.84 2013-01-21 Common Stock 4500 4500 D Non-Qualified Stock Option (Right To Buy) 19.48 2014-01-20 Common Stock 3000 3000 D Non-Qualified Stock Option (Right to Buy) 21.00 2015-02-10 Common Stock 3000 3000 D Non-Qualified Stock Option (Right to Buy 21.60 2016-02-06 Common Stock 1500 1500 D Non-Qualified Stock Option (Right to Buy) 29.65 2017-01-16 Common Stock 1500 1500 D Non-Qualified Stock Option (Right to Buy) 18.60 2018-01-24 Common Stock 1500 1500 D 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. 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 date of grant. Includes 579 Restricted Stock Awards granted under the 2005 Long-Term Incentive Plan. 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. Includes 9,500 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. The RSU grant is subject to the settlement restrictions under the TARP. /s/ Douglas J. Horstmann 2011-12-06