0000920112-18-000277.txt : 20181128 0000920112-18-000277.hdr.sgml : 20181128 20181128173238 ACCESSION NUMBER: 0000920112-18-000277 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181116 FILED AS OF DATE: 20181128 DATE AS OF CHANGE: 20181128 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: 181206521 MAIL ADDRESS: STREET 1: 1398 CENTRAL AVE CITY: DUBUQUE STATE: IA ZIP: 52001 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 4 1 wf-form4_154344434163446.xml FORM 4 X0306 4 2018-11-16 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 0 D Common Stock 626110 I As Trustee Common Stock 2018-11-16 4 G 0 30769 0 A 656879 I As Trustee Common Stock 5000 I Spouses Trust Common Stock 301616 I Family LLLP Common Stock 123078 I As Trustee Common Stock 2018-11-16 4 W 0 123078 0 D 0 I As Trustee Common Stock 12188 I HTLF Retirement Plan 2018 Time-Based Restricted Stock Common Stock 2292.0 0 D 2018 Performance Based Restricted Stock (3-year performance) Common Stock 3056.0 0 D 2018 Performance Based Restricted Stock (1-year performance) Common Stock 2292.0 0 D 2017 Time-Based Restricted Stock Common Stock 2303.0 0 D 2017 Performance Based Restricted Stock (3-year performance) Common Stock 1727.0 0 D 2017 Performance Based Restricted Stock (1-year performance) Common Stock 2108.0 0 D 2016 Time-Based Restricted Stock Common Stock 1587.0 0 D 2016 Performance Based Restricted Stock (3-year performance) Common Stock 2524.0 0 D 2016 Performance Based Restricted Stock (1-year performance) Common Stock 5300.0 0 D 2015 Time-Based Restricted Stock Common Stock 3333.0 0 D 2014 Time-Based Restricted Stock Common Stock 1733.0 0 D These shares are held by Lynn B. Fuller Trust Under Agreement dated 5-7-96, Lynn B. Fuller Trustee Shares were acquired from the Emma O Fuller Trust dissolution to four grandchildren. 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 in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020. These restricted stock units vest in 2021 if certain performance measures are achieved by the Issuer. These restricted stock units vest on 3-6-2021 if certain performance measures are achieved by the Issuer. These restricted stock units vest in 2020 if certain performance measures are achieved by the Issuer. These restricted stock units vest on 1-19-2020 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. These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer. These restricted stock units vest on 1-19-2019 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. 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. /s/ Lynn B. Fuller 2018-11-28