Filing Details

Accession Number:
0001179110-13-002012
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-02-06 16:11:47
Reporting Period:
2013-02-04
Filing Date:
2013-02-06
Accepted Time:
2013-02-06 16:11:47
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
920112 Heartland Financial Usa Inc HTLF State Commercial Banks (6022) 421405748
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1184324 B Lynn Fuller 1398 Central Ave.
Dubuque IA 52001
President & Ceo Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-02-04 1,000 $23.85 827,269 No 4 P Indirect As Trustee
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect As Trustee
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 43,050 Direct
Common Stock 6,000 Indirect By Spouse
Common Stock 123,078 Indirect As Trustee
Common Stock 689 Indirect By Son
Common Stock 12,188 Indirect HTLF Retirement Plan
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Non-Qualified Stock Option (Right to Buy) $29.65 2017-01-16 10,000 10,000 Direct
Common Stock Non-Qualified Stock Option (Right to Buy) $18.60 2018-01-24 2,667 2,667 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2017-01-16 10,000 10,000 Direct
2018-01-24 2,667 2,667 Direct
Footnotes
  1. 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.
  2. Shares held by Lynn B. Fuller Trust Under Agreement dated 5-7-96, Lynn B. Fuller Trustee
  3. Shares held by the Emma O. Fuller Trust dated 9-3-85 Dubuque Bank & Trust, L.S. Fuller & L.B. Fuller, co-trustees
  4. 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.
  5. These shares participate in a Dividend Reinvestment Plan.
  6. 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.
  7. 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.
  8. These shares are registered to Thomas John Fuller.
  9. Includes 14,025 shares of Performance Based Restricted Stock.
  10. Includes 1,000 shares held at Raymond James in street name.