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Filing Details

Accession Number:
0000920112-17-000215
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-06-02 15:34:03
Reporting Period:
2017-06-02
Filing Date:
2017-06-02
Accepted Time:
2017-06-02 15:34:03
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
Chairman & 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 2017-06-02 1,000 $44.60 587,200 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 0 Direct
Common Stock 586,200 Indirect As Trustee
Common Stock 5,000 Indirect Spouses Trust
Common Stock 301,616 Indirect Family LLLP
Common Stock 123,078 Indirect As Trustee
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 2013 Time-Based Restricted Stock $0.00 1,925 0 Direct
Common Stock 2014 Time-Based Restricted Stock $0.00 3,467 0 Direct
Common Stock 2015 Time-Based Restricted Stock $0.00 5,000 0 Direct
Common Stock 2015 Performance Based Restricted Stock $0.00 3,500 0 Direct
Common Stock 2016 Time-Based Restricted Stock $0.00 3,173 0 Direct
Common Stock 2016 Performance Based Restricted Stock (1-year performance) $0.00 5,300 0 Direct
Common Stock 2016 Performance Based Restricted Stock (3-year performance) $0.00 2,524 0 Direct
Common Stock 2017 Time-Based Restricted Stock $0.00 3,455 0 Direct
Common Stock 2017 Performance Based Restricted Stock (3-year performance) $0.00 1,727 0 Direct
Common Stock 2017 Performance Based Restricted Stock (1-year performance) $0.00 3,455 0 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
1,925 0 Direct
3,467 0 Direct
5,000 0 Direct
3,500 0 Direct
3,173 0 Direct
5,300 0 Direct
2,524 0 Direct
3,455 0 Direct
1,727 0 Direct
3,455 0 Direct
Footnotes
  1. These shares are held by Lynn B. Fuller Trust Under Agreement dated 5-7-96, Lynn B. Fuller Trustee
  2. These shares are held by Cynthia A Fuller Declaration of Trust under agreement dated 7/2/2015, Cynthia A Fuller, Trustee
  3. 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.
  4. These shares held by Emma O. Fuller Trust dated 9-3-85 Dubuque Bank & Trust, Lynn B Fuller, Trustee
  5. 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.
  6. Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
  7. Of these restricted stock units, 1/3 vest on 1-22-2016, 1/3 vest on 1-22-2017, and 1/3 vest on 1-22-2018.
  8. Of these restricted stock units, 1/3 vest on 3-11-2017, 1/3 vest on 3-11-2018, and 1/3 vest on 3-11-2019.
  9. 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.
  10. These restricted stock units vest on 1-18-2018 if certain performance measures are achieved by the Issuer.
  11. Of these restricted stock units, 1/3 vest on 1-19-2017, 1/3 vest on 1-19-2018, and 1/3 vest on 1-19-2019.
  12. These restricted stock units vest on 1-19-2019 if certain performance measures are achieved by the Issuer.
  13. These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer.
  14. Of these restricted stock units, 1/3 vest in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020.
  15. These restricted stock units vest in 2020 if certain performance measures are achieved by the Issuer.
  16. These restricted stock units vest on 1-19-2020 if certain performance measures are achieved by the Issuer.