0000920112-15-000097.txt : 20150506 0000920112-15-000097.hdr.sgml : 20150506 20150506153131 ACCESSION NUMBER: 0000920112-15-000097 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150501 FILED AS OF DATE: 20150506 DATE AS OF CHANGE: 20150506 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 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: 15836691 MAIL ADDRESS: STREET 1: 1398 CENTRAL AVE CITY: DUBUQUE STATE: IA ZIP: 52001 4 1 wf-form4_143094067884601.xml FORM 4 X0306 4 2015-05-01 0 0000920112 HEARTLAND FINANCIAL USA INC HTLF 0001184324 FULLER LYNN B 1398 CENTRAL AVE. DUBUQUE IA 52001 1 1 0 0 Chairman & CEO Common Stock 2015-05-01 4 M 0 10000 29.65 A 0 I As Trustee Common Stock 2015-05-01 4 S 0 10000 33.83 D 0 I As Trustee Common Stock 2015-05-01 5 G 0 E 267616 0 D 576420 I As Trustee Common Stock 2015-05-01 5 G 0 E 7100 0 D 5000 I By Spouse Common Stock 2015-05-01 4 P 0 26900 33.83 A 0 I Family LLLP Common Stock 2015-05-01 5 G 0 E 267616 0 A 0 I Family LLLP Common Stock 2015-05-01 5 G 0 E 7100 0 A 301616 I Family LLLP Common Stock 35862 D Common Stock 123078 I As Trustee Common Stock 12188 I HTLF Retirement Plan Non-Qualified Stock Option (Right To Buy) 29.65 2015-05-01 4 M 0 10000 0 D 2017-01-16 Common Stock 0.0 0 D Multi line entry --- see next line for total Shares held by Lynn B. Fuller Trust Under Agreement dated 5-7-96, Lynn B. Fuller Trustee Represents a sale to two adult sons in which payment is represented by promissory notes. Represents the transfer by Mr. Fuller's Trust to the LBF Heartland Partnership LLLP. Represents the transfer by Mr. Fuller's spouse to the LBF Heartland Partnership LLLP. Represents the transfer by adult sons to LBF Heartland Partnership LLLP. Shares held by LBF Heartland Partnership LLLP - Lynn B Fuller is the General Partner. Wife and two (2) adult sons are Limited Partners. Includes 24,475 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. Includes 11,387 shares of Performance Based Restricted Stock. Shares held by the Emma O. Fuller Trust dated 9-3-85 Dubuque Bank & Trust, L.S. Fuller & L.B. Fuller, co-trustees 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. 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. /s/ Lynn B. Fuller 2015-05-06