0000920112-19-000090.txt : 20190321 0000920112-19-000090.hdr.sgml : 20190321 20190321185934 ACCESSION NUMBER: 0000920112-19-000090 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190319 FILED AS OF DATE: 20190321 DATE AS OF CHANGE: 20190321 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: 19698069 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_155320916014788.xml FORM 4 X0306 4 2019-03-19 0 0000920112 HEARTLAND FINANCIAL USA INC HTLF 0001184324 FULLER LYNN B 1398 CENTRAL AVE. DUBUQUE IA 52001 1 1 0 0 Executive Operating Chairman Common Stock 0 D Common Stock 669547 I As Trustee Common Stock 5000 I Spouses Trust Common Stock 301616 I Family LLLP Common Stock 59019 I GST TRUST Common Stock 12188 I HTLF Retirement Plan Common Stock 2019-03-19 4 M 0 1859 45.77 A 671406 I As Trustee 2019 Time-Based Restricted Stock Common Stock 0.0 0 D 2019 Time-Based Restricted Stock 2019-03-19 4 A 0 4398 45.77 A Common Stock 4398.0 0 D 2019 Performance Based Restricted Stock (3-year performance) Common Stock 0.0 0 D 2019 Performance Based Restricted Stock (3-year performance) 2019-03-19 4 A 0 4398 45.77 A Common Stock 4398.0 0 D 2018 Time-Based Restricted Stock Common Stock 1528.0 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 516.0 0 D 2017 Time-Based Restricted Stock Common Stock 1152.0 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 Performance Based Restricted Stock (3-year performance) Common Stock 1859.0 0 D 2016 Performance Based Restricted Stock (3-year performance) 2019-03-19 4 M 0 1859 45.77 D Common Stock 0.0 0 D 2015 Time-Based Restricted Stock Common Stock 1667.0 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. 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 3-6-2020, 1/3 vest on 3-6-2021, and 1/3 vest on 3-6-2022. These restricted stock units vest in 2022 if certain performance measures are achieved by the Issuer 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. These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer. Reflects the forfeiture of 665 Performance Based Restricted Stock Units granted but not earned during performance period. 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. /s/ Lynn B. Fuller 2019-03-21