0001179110-13-002012.txt : 20130206
0001179110-13-002012.hdr.sgml : 20130206
20130206161147
ACCESSION NUMBER: 0001179110-13-002012
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130204
FILED AS OF DATE: 20130206
DATE AS OF CHANGE: 20130206
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: 13577942
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
edgar.xml
FORM 4 -
X0306
4
2013-02-04
0
0000920112
HEARTLAND FINANCIAL USA INC
HTLF
0001184324
FULLER LYNN B
1398 CENTRAL AVE.
DUBUQUE
IA
52001
1
1
0
0
President & CEO
Common Stock
43050
D
Common Stock
2013-02-04
4
P
0
1000
23.85
A
827269
I
As Trustee
Common Stock
6000
I
By Spouse
Common Stock
123078
I
As Trustee
Common Stock
689.157
I
By Son
Common Stock
12188
I
HTLF Retirement Plan
Non-Qualified Stock Option (Right to Buy)
29.65
2017-01-16
Common Stock
10000
10000
D
Non-Qualified Stock Option (Right to Buy)
18.60
2018-01-24
Common Stock
2667
2667
D
The reporting person disclaims beneficial ownership of these securities,and this report shall not be deemed to be an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or any other purpose.
Shares held by Lynn B. Fuller Trust Under Agreement dated 5-7-96, Lynn B. Fuller Trustee
Shares held by the Emma O. Fuller Trust dated 9-3-85 Dubuque Bank & Trust, L.S. Fuller & L.B. Fuller, co-trustees
Represents options to buy granted under the Company's Stock Option Plan, a Rule 16(b)(3) plan, which options vest one-third per year beginning on the 3rd anniversary of date of grant.
These shares participate in a Dividend Reinvestment Plan.
Represents shares allocated to the reporting person's account under the Heartland Financial USA, Inc. Retirement Plan as a result of the Pension Plan Protection Act of 2006.
Includes 29,025 Restricted Stock Units (RSU). Each RSU represents the right to receive one share of common stock. The grant vests in three equal installments on the third, fourth and fifth anniversaries of the grant date.
These shares are registered to Thomas John Fuller.
Includes 14,025 shares of Performance Based Restricted Stock.
Includes 1,000 shares held at Raymond James in street name.
/s/ Lynn B. Fuller
2013-02-06