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
- These shares are held by Lynn B. Fuller Trust Under Agreement dated 5-7-96, Lynn B. Fuller Trustee
- These shares are held by Cynthia A Fuller Declaration of Trust under agreement dated 7/2/2015, Cynthia A 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 held by Emma O. Fuller Trust dated 9-3-85 Dubuque Bank & Trust, Lynn B 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 1-22-2016, 1/3 vest on 1-22-2017, and 1/3 vest on 1-22-2018.
- 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.
- 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.
- These restricted stock units vest on 1-18-2018 if certain performance measures are achieved by the Issuer.
- 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.
- These restricted stock units vest on 1-19-2019 if certain performance measures are achieved by the Issuer.
- These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer.
- Of these restricted stock units, 1/3 vest in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020.
- These restricted stock units vest in 2020 if certain performance measures are achieved by the Issuer.
- These restricted stock units vest on 1-19-2020 if certain performance measures are achieved by the Issuer.
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