Johnson Kelly J 4

4 · HEARTLAND FINANCIAL USA INC · Filed Jan 23, 2018

Form 4

Period: 2018-01-19

EVP,Private Client Services Sr

Transactions

Exercise/Conversion
Common Stock
2018-01-20$55.50/sh+333$18,482→ 5,544 total
Exercise/Conversion
Common Stock
2018-01-19$55.50/sh+200$11,100→ 6,038 total
Tax Payment
2017 Time-Based Restricted Stock
2018-01-19$55.50/sh−312$17,316
→ Common Stock (624 underlying)
Tax Payment
2016 Time-Based Restricted Stock
2018-01-19$55.50/sh−458$25,419
→ Common Stock (459 underlying)
Exercise/Conversion
Common Stock
2018-01-19$55.50/sh+294$16,317→ 5,838 total
Tax Payment
2015 Time-Based Restricted Stock
2018-01-20$55.50/sh−500$27,750
→ Common Stock (1,000 underlying)

Holdings

Common Stock
5,211
2017 Performance Based Restricted Stock (3-year performance)
→ Common Stock (468 underlying)
2016 Performance Based Restricted Stock (3-year performance)
→ Common Stock (729 underlying)
2017 Time-Based Restricted Stock
→ Common Stock (936 underlying)
2017 Performance Based Restricted Stock (1-year performance)
→ Common Stock (571 underlying)
2015 Time-Based Restricted Stock
→ Common Stock (1,500 underlying)
2016 Time-Based Restricted Stock
→ Common Stock (917 underlying)
2016 Performance Based Restricted Stock (1-year performance)
→ Common Stock (1,531 underlying)

Footnotes (8)

[F1]Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
[F2]Of these restricted stock units, 1/3 vest in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020.
[F3]These restricted stock units vest in 2020 if certain performance measures are achieved by the Issuer.
[F4]These restricted stock units vest on 1-19-2020 if certain performance measures are achieved by the Issuer.
[F5]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.
[F6]These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer.
[F7]These restricted stock units vest on 1-19-2019 if certain performance measures are achieved by the Issuer.
[F8]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.

Documents

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