HEARTLAND FINANCIAL USA INC 4

4 · HEARTLAND FINANCIAL USA INC · Filed Jan 23, 2017

Form 4

Period: 2017-01-19

EVP,Private Client Services Sr

Transactions

Exercise/Conversion
Common Stock
2017-01-19$46.25/sh+281$12,996→ 4,012 total
Tax Payment
2016 Time-Based Restricted Stock
2017-01-19−459
→ Common Stock (917 underlying)

Holdings

2015 Performance Based Restricted Stock
→ Common Stock (1,050 underlying)
2016 Time-Based Restricted Stock
→ Common Stock (1,376 underlying)
2017 Time-Based Restricted Stock
→ Common Stock (936 underlying)
2015 Time-Based Restricted Stock
→ Common Stock (1,500 underlying)
2016 Performance Based Restricted Stock (3-year performance)
→ Common Stock (729 underlying)
Common Stock
3,731
2016 Performance Based Restricted Stock (1-year performance)
→ Common Stock (1,531 underlying)

Footnotes (7)

[F1]Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
[F2]These restricted stock units vest on 1-18-2018 if certain performance measures are achieved by the Issuer.
[F3]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.
[F4]These restricted stock units vest on 1-19-2019 if certain performance measures are achieved by the Issuer.
[F5]These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer.
[F6]Of these restricted stock units, 1/3 vest on 1-19-2017, 1/3 vest on 1-19-2018, and 1/3 vest on 1-19-2019.
[F7]Of these restricted stock units, 1/3 vest in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020.

Documents

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