0001179110-14-003069.txt : 20140219 0001179110-14-003069.hdr.sgml : 20140219 20140219163935 ACCESSION NUMBER: 0001179110-14-003069 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131122 FILED AS OF DATE: 20140219 DATE AS OF CHANGE: 20140219 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHMIDT JOHN K CENTRAL INDEX KEY: 0001184329 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15393 FILM NUMBER: 14626124 MAIL ADDRESS: STREET 1: 1398 CENTRAL AVE CITY: DUBUQUE STATE: IA ZIP: 52001 4 1 edgar.xml FORM 4 - X0306 4 2013-11-22 0 0000920112 HEARTLAND FINANCIAL USA INC HTLF 0001184329 SCHMIDT JOHN K 1398 CENTRAL AVE. DUBUQUE IA 52001 1 0 0 0 Common Stock 122661 D Common Stock 4780 I 401(k) Common Stock 4009 I Minor Child Common Stock 5605.8278 I Minor Child Common Stock 2013-11-22 4 S 0 1000 28.4930 D 2472 I Son Common Stock 12173 I Spouse Non-Qualified Stock Option (Right to Buy) 29.65 2017-01-16 Common Stock 4000 4000 D Includes 2,506 shares held jointly with reporting person's spouse. Shares held as Donna L. Schmidt Cust for Nicole M. Schmidt. Shares held as Alexander J. Schmidt TOD Donna L Schmidt. Shares held as Donna L. Schmidt Cust for Benjamin N. Schmidt. Shares participate in a Dividend Reinvestment Plan. 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 1,000 shares held at Raymond James in street name. Includes 1,000 shares of Restricted Stock Units granted under the 2012 Long-Term Incentive Plan. These shares will vest the earlier of 2014 Annual Meeting or July 16,2014. /s/ John K. Schmidt 2014-02-19