0000920112-21-000048.txt : 20210309 0000920112-21-000048.hdr.sgml : 20210309 20210309161541 ACCESSION NUMBER: 0000920112-21-000048 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210305 FILED AS OF DATE: 20210309 DATE AS OF CHANGE: 20210309 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: 21725973 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_161532451378679.xml FORM 4 X0306 4 2021-03-05 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 92669 I GST TRUST Common Stock 274676 I As Trustee Common Stock 2021-03-05 4 M 0 359 48.88 A 275035 I As Trustee Common Stock 2021-03-05 4 M 0 1021 48.88 A 276056 I As Trustee Common Stock 2021-03-05 4 M 0 532 48.88 A 276588 I As Trustee Common Stock 2021-03-05 4 M 0 1148 48.88 A 277736 I As Trustee Common Stock 254258 I Family II LLLP Common Stock 313180 I Family LLLP Common Stock 5000 I Spouses Trust Common Stock 12188 I HTLF Retirement Plan 2020 Time-Based Restricted Stock Common Stock 4946.0 0 D 2020 Time-Based Restricted Stock 2021-03-05 4 F 0 1649 48.88 D Common Stock 3297.0 0 D 2020 Performance Based Restricted Stock (3-year performance) Common Stock 4946.0 0 D 2019 Time-Based Restricted Stock Common Stock 2932.0 0 D 2019 Time-Based Restricted Stock 2021-03-05 4 F 0 1466 48.88 D Common Stock 1466.0 0 D 2019 Performance Based Restricted Stock (3-year performance) Common Stock 4398.0 0 D 2018 Time-Based Restricted Stock Common Stock 1528.0 0 D 2018 Time-Based Restricted Stock 2021-03-05 4 F 0 764 48.88 D Common Stock 0.0 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 2018 Performance Based Restricted Stock (1-year performance) 2021-03-05 4 F 0 516 48.88 D Common Stock 0.0 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 LBF Heartland Partnership LLLC - Lynn B Fuller is the General Partner. Wife and two (2) adult sons are Limited Partners. These shares are held by Cynthia A Fuller Declaration of Trust under agreement dated 7/2/2015, Cynthia A 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 3-6-2021, 1/3 vest on 3-6-2022, and 1/3 vest on 3-6-2023. These restricted stock units vest in 2023 if certain performance measures are achieved by the Issuer 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. /s/ Lynn B. Fuller 2021-03-09