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