0000920112-20-000310.txt : 20201110 0000920112-20-000310.hdr.sgml : 20201110 20201110143452 ACCESSION NUMBER: 0000920112-20-000310 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200317 FILED AS OF DATE: 20201110 DATE AS OF CHANGE: 20201110 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: 201300717 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_160503687810980.xml FORM 4 X0306 4 2020-03-17 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 418837 I As Trustee Common Stock 2020-11-04 4 P 0 2000 32.18 A 420837 I As Trustee Common Stock 254258 I Family II LLLP Common Stock 313180 I Family LLLP Common Stock 5000 I Spouses Trust Common Stock 0 D Common Stock 12188 I HTLF Retirement Plan 2020 Time-Based Restricted Stock Common Stock 0.0 0 D 2020 Time-Based Restricted Stock 2020-03-17 4 A 0 4946 32.57 A Common Stock 4946.0 0 D 2020 Performance Based Restricted Stock (3-year performance) Common Stock 0.0 0 D 2020 Performance Based Restricted Stock (3-year performance) 2020-03-17 4 A 0 4946 32.57 A Common Stock 4946.0 0 D 2019 Time-Based Restricted Stock Common Stock 2932.0 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 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 Moved the direct ownership shares totaling 8,691 to indirect GST Trust. 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 01-2019, 1/3 vest in 01-2020 and 1/3 vest in 01-2021. 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 2020-11-10