0000920112-20-000004.txt : 20200103 0000920112-20-000004.hdr.sgml : 20200103 20200103153337 ACCESSION NUMBER: 0000920112-20-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200102 FILED AS OF DATE: 20200103 DATE AS OF CHANGE: 20200103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FOX BRIAN CENTRAL INDEX KEY: 0001504067 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15393 FILM NUMBER: 20504989 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 wf-form4_157808359966704.xml FORM 4 X0306 4 2020-01-02 0 0000920112 HEARTLAND FINANCIAL USA INC HTLF 0001504067 FOX BRIAN 1398 CENTRAL AVE DUBUQUE IA 52001 0 1 0 0 EVP, Operations Common Stock 2000 D Common Stock 15242.1958 I Trust Common Stock 2020-01-02 4 S 0 807 49.92 D 14435.1958 I Trust 2015 Time-Based Restricted Stock Common Stock 583.0 0 D 2016 Performance Based Restricted Stock (3-year performance) Common Stock 0.0 0 D 2017 Performance Based Restricted Stock (1-year performance) Common Stock 547.0 0 D 2017 Performance Based Restricted Stock (3-year performance) Common Stock 448.0 0 D 2017 Time-Based Restricted Stock Common Stock 299.0 0 D 2018 Performance Based Restricted Stock (1-year performance) Common Stock 180.0 0 D 2018 Performance Based Restricted Stock (3-year performance) Common Stock 1066.0 0 D 2018 Time-Based Restricted Stock Common Stock 533.0 0 D 2019 Performance Based Restricted Stock (3-year performance) Common Stock 1617.0 0 D 2019 Time-Based Restricted Stock Common Stock 1617.0 0 D These shares are held in an IRA. These shares participate in a Dividend Reinvestment Plan. These shares held by Fox Revocable Trust dated 11/19/2001, Brian J Fox and Brenda J Fox, Trustees Shares sold pursuant to 10b5-1 Plan effective December 9, 2019 Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. Of these restricted stock units, 1/3 vest on 1-20-2018, 1/3 vest on 1-20-2019, and 1/3 vest on 1-20-2020. These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer. These restricted stock units vest on 1-19-2020 if certain performance measures are achieved by the Issuer. These restricted stock units vest in 2020 if certain performance measures are achieved by the Issuer. Of these restricted stock units, 1/3 vest in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020. These restricted stock units vest on 3-6-2021 if certain performance measures are achieved by the Issuer. These restricted stock units vest in 2021 if certain performance measures are achieved by the Issuer. Of these restricted stock units, 1/3 vest on 3-6-2019, 1/3 vest on 3-6-2020, and 1/3 vest on 3-6-2021. These restricted stock units vest in 2022 if certain performance measures are achieved by the Issuer Of these restricted stock units, 1/3 vest on 3-6-2020, 1/3 vest on 3-6-2021, and 1/3 vest on 3-6-2022. /s/ Brian Fox 2020-01-03