SEC FORM 4

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

FULLER LYNN B

(Last)

(First)

(Middle)

1398 CENTRAL AVE.

(Street)

DUBUQUE

52001

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
HEARTLAND FINANCIAL USA INC [ HTLF ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Executive Operating Chairman

3. Date of Earliest Transaction (Month/Day/Year)
04/08/2019

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock								0	D
Common Stock								671,406	I	As Trustee⁽¹⁾
Common Stock	04/15/2019		G		11,564⁽²⁾	D	$0	659,842	I	As Trustee⁽¹⁾
Common Stock								5,000	I	Spouses Trust⁽³⁾
Common Stock								301,616	I	Family LLLP⁽⁴⁾
Common Stock	04/17/2019		G		11,564⁽⁵⁾	A	$0	313,180	I	Family LLLP⁽⁴⁾
Common Stock								59,019	I	GST TRUST
Common Stock	04/08/2019		G		29,000⁽⁶⁾	A	$0	88,019	I	GST TRUST
Common Stock								12,188	I	HTLF Retirement Plan⁽⁷⁾

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
2019 Time-Based Restricted Stock	⁽⁸⁾							⁽⁹⁾	⁽⁹⁾	Common Stock	4,398		0	D
2019 Performance Based Restricted Stock (3-year performance)	⁽⁸⁾							⁽¹⁰⁾	⁽¹⁰⁾	Common Stock	4,398		0	D
2018 Time-Based Restricted Stock	⁽⁸⁾							⁽¹¹⁾	⁽¹¹⁾	Common Stock	1,528		0	D
2018 Performance Based Restricted Stock (3-year performance)	⁽⁸⁾							⁽¹²⁾	⁽¹²⁾	Common Stock	3,056		0	D
2018 Performance Based Restricted Stock (1-year performance)	⁽⁸⁾							⁽¹³⁾	⁽¹³⁾	Common Stock	516		0	D
2017 Time-Based Restricted Stock	⁽⁸⁾							⁽¹¹⁾	⁽¹¹⁾	Common Stock	1,152		0	D
2017 Performance Based Restricted Stock (3-year performance)	⁽⁸⁾							⁽¹⁴⁾	⁽¹⁴⁾	Common Stock	1,727		0	D
2017 Performance Based Restricted Stock (1-year performance)	⁽⁸⁾							⁽¹⁵⁾	⁽¹⁵⁾	Common Stock	2,108		0	D
2015 Time-Based Restricted Stock	⁽⁸⁾							⁽¹⁶⁾	⁽¹⁶⁾	Common Stock	1,667		0	D

Explanation of Responses:

1. These shares are held by Lynn B. Fuller Trust Under Agreement dated 5-7-96, Lynn B. Fuller Trustee

2. Gifted shares to sons for contribution to rebalance family partnership

3. These shares are held by Cynthia A Fuller Declaration of Trust under agreement dated 7/2/2015, Cynthia A Fuller, Trustee

4. 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.

5. Contribution to LLLP to rebalance family partnership

6. Final distribution per parental trust agreements

7. 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.

8. Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

9. 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.

10. These restricted stock units vest in 2022 if certain performance measures are achieved by the Issuer

11. Of these restricted stock units, 1/3 vest in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020.

12. These restricted stock units vest in 2021 if certain performance measures are achieved by the Issuer.

13. These restricted stock units vest on 3-6-2021 if certain performance measures are achieved by the Issuer.

14. These restricted stock units vest in 2020 if certain performance measures are achieved by the Issuer.

15. These restricted stock units vest on 1-19-2020 if certain performance measures are achieved by the Issuer.

16. 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.

Remarks:

	/s/ Lynn B. Fuller	04/23/2019
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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