0001179110-11-009720.txt : 20110616 0001179110-11-009720.hdr.sgml : 20110616 20110616101315 ACCESSION NUMBER: 0001179110-11-009720 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110615 FILED AS OF DATE: 20110616 DATE AS OF CHANGE: 20110616 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: 11914248 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 - X0303 4 2011-06-15 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 22742 D Common Stock 2011-06-15 4 P 0 1000 13.53 A 573055 I As Trustee Common Stock 21000 I Partnership Common Stock 6000 I By Spouse Common Stock 2113.236 I By Son Common Stock 123078 I As Trustee Common Stock 664.329 I By Son Common Stock 12188 I HTLF Retirement Plan Non-Qualified Stock Option (Right To Buy) 19.48 2014-01-20 Common Stock 15000 15000 D Non-Qualified Stock Option (Right to Buy) 21.00 2015-02-10 Common Stock 15000 15000 D Non-Qualified Stock Option (Right to Buy 21.60 2016-02-06 Common Stock 10000 10000 D 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 8000 8000 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. Includes 4,742 Restricted Stock Awards granted under the 2005 Long-Term Incentive 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 18,000 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. The RSU grant is subject to the settlement restrictions under the TARP. These shares are registered to Lynn H. Fuller. These shares are registered to Thomas John Fuller. /s/ Lynn B. Fuller 2011-06-16