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