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