0000920112-17-000066.txt : 20170123
0000920112-17-000066.hdr.sgml : 20170123
20170123172949
ACCESSION NUMBER: 0000920112-17-000066
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170119
FILED AS OF DATE: 20170123
DATE AS OF CHANGE: 20170123
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: FULLER LYNN B
CENTRAL INDEX KEY: 0001184324
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-15393
FILM NUMBER: 17541772
MAIL ADDRESS:
STREET 1: 1398 CENTRAL AVE
CITY: DUBUQUE
STATE: IA
ZIP: 52001
4
1
wf-form4_148521057485919.xml
FORM 4
X0306
4
2017-01-19
0
0000920112
HEARTLAND FINANCIAL USA INC
HTLF
0001184324
FULLER LYNN B
1398 CENTRAL AVE.
DUBUQUE
IA
52001
1
1
0
0
Chairman & CEO
Common Stock
580995
I
As Trustee
Common Stock
2017-01-19
4
M
0
1587
46.25
A
582582
I
As Trustee
Common Stock
2017-01-20
4
M
0
1925
46.85
A
584507
I
As Trustee
Common Stock
5000
I
Spouses Trust
Common Stock
301616
I
Family LLLP
Common Stock
123078
I
As Trustee
Common Stock
12188
I
HTLF Retirement Plan
Common Stock
0
D
2013 Time-Based Restricted Stock
Common Stock
3850.0
0
D
2013 Time-Based Restricted Stock
2017-01-20
2017-01-23
4
F
0
1925
0
D
Common Stock
1925.0
0
D
2014 Time-Based Restricted Stock
Common Stock
5200.0
0
D
2015 Performance Based Restricted Stock
Common Stock
3500.0
0
D
2015 Time-Based Restricted Stock
Common Stock
5000.0
0
D
2016 Performance Based Restricted Stock (1-year performance)
Common Stock
5300.0
0
D
2016 Performance Based Restricted Stock (3-year performance)
Common Stock
2524.0
0
D
2016 Time-Based Restricted Stock
Common Stock
4760.0
0
D
2016 Time-Based Restricted Stock
2017-01-19
4
F
0
1587
0
D
Common Stock
3173.0
0
D
2017 Time-Based Restricted Stock
Common Stock
3455.0
0
D
These shares are held by Lynn B. Fuller Trust Under Agreement dated 5-7-96, Lynn B. Fuller Trustee
These shares are held by Cynthia A Fuller Declaration of Trust under agreement dated 7/2/2015, Cynthia A Fuller, Trustee
These shares are held by LBF Heartland Partnership LLLC - Lynn B Fuller is the General Partner. Wife and two (2) adult sons are Limited Partners.
These shares held by Emma O. Fuller Trust dated 9-3-85 Dubuque Bank & Trust, Lynn B Fuller, Trustee
Represents shares allocated to the reporting person's account under the Heartland Financial USA, Inc. Retirement Plan as a result of the Pension Plan Protectin Act of 2006.
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 1-22-2016, 1/3 vest on 1-22-2017, and 1/3 vest on 1-22-2018.
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.
Of these restricted stock units, 1/3 vest in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020.
/s/ Lynn B. Fuller
2017-01-23