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Filing Details

Accession Number:: 0000920112-16-000460
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-12-14 09:13:49
Reporting Period:: 2016-12-12

Filing Date:: 2016-12-14
Accepted Time:: 2016-12-14 09:13:49
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
920112	Heartland Financial Usa Inc	HTLF	State Commercial Banks (6022)	421405748

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1184326	J Douglas Horstmann	1398 Central Ave. Dubuque IA 52001	Evp, Lending	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2016-12-12	15,000	$0.00	78,093	No	4	J	Indirect	Trust
Common Stock	Acquisiton	2016-12-12	15,000	$0.00	35,000	No	4	J	Indirect	Trust
Common Stock	Disposition	2016-12-12	1,591	$0.00	33,409	No	4	S	Indirect	Trust

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	J	Indirect	Trust
No	4	J	Indirect	Trust
No	4	S	Indirect	Trust

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	93,093	Indirect	Trust
Common Stock	20,000	Indirect	Trust
Common Stock	27,000	Indirect	Spouse's Trust
Common Stock	10,516	Indirect	401(k)
Common Stock	5,204	Direct

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Amount	Nature of Ownership
Common Stock	2012 Time-Based Restricted Stock	$0.00	1,063	Direct
Common Stock	2013 Time-Based Restricted Stock	$0.00	1,500	Direct
Common Stock	2014 Performance Based Restricted Stock	$0.00	1,664	Direct
Common Stock	2014 Time-Based Restricted Stock	$0.00	2,025	Direct
Common Stock	2015 Performance Based Restricted Stock	$0.00	1,990	Direct
Common Stock	2015 Time-Based Restricted Stock	$0.00	2,050	Direct
Common Stock	2016 Performance Based Restricted Stock (1-year performance)	$0.00	1,516	Direct
Common Stock	2016 Performance Based Restricted Stock (3-year performance)	$0.00	758	Direct
Common Stock	2016 Time-Based Restricted Stock	$0.00	1,429	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
	1,063	0	Direct
	1,500	0	Direct
	1,664	0	Direct
	2,025	0	Direct
	1,990	0	Direct
	2,050	0	Direct
	1,516	0	Direct
	758	0	Direct
	1,429	0	Direct

Footnotes

These shares are held by Doulgas J Horstmann Trust under agreement dated 8/13/2011 FBO Douglas J Horstmann Declaration of Trust
Moved shares from registered account at transfer agent to brokerage account
These shares are held by Douglas J Horstmann Declaration of Trust under agreement dated 8/13/2011, Douglas J Horstmann, Trustee
These shares are held by Karen M Horstmann Declaration of Trust dated 8/13/2011, Karen M Horstmann, Trustee
Based on a plan statement dated August 2016
These shares are held as an IRA at LPL
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 1-17-2015, 1/3 vest on 1-17-2016, and 1/3 vest on 1-17-2017.
Of these restricted stock units, 1/3 vest on 1-22-2016, 1/3 vest on 1-22-2017, and 1/3 vest on 1-22-2018.
These restricted stock units vest on 1-18-2017 if certain performance measures are achieved by the Issuer.
Of these restricted stock units, 1/3 vest on 3-11-2017, 1/3 vest on 3-11-2018, and 1/3 vest on 3-11-2019.
These restricted stock units vest on 1-18-2018 if certain performance measures are achieved by the Issuer.
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 on 1-19-2019 if certain performance measures are achieved by the Issuer.
These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer.
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.