Filing Details

Accession Number:
0000920112-20-000064
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-03-12 17:22:48
Reporting Period:
2020-03-10
Accepted Time:
2020-03-12 17:22:48
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
Executive Operating Chairman 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 2020-03-10 1,000 $35.10 661,404 No 4 P Indirect As Trustee
Common Stock Acquisiton 2020-03-12 1,000 $30.70 662,404 No 4 P Indirect As Trustee
Common Stock Acquisiton 2020-03-12 2,230 $40.90 7,157 No 4 M Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect As Trustee
No 4 P Indirect As Trustee
No 4 M Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock 2018 Time-Based Restricted Stock Acquisiton 2020-03-12 764 $40.90 764 $0.00
Common Stock 2019 Time-Based Restricted Stock Acquisiton 2020-03-12 1,466 $40.90 1,466 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
764 No 4 M Direct
1,466 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 92,669 Indirect GST TRUST
Common Stock 660,404 Indirect As Trustee
Common Stock 313,180 Indirect Family LLLP
Common Stock 5,000 Indirect Spouses Trust
Common Stock 4,927 Direct
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 2017 Performance Based Restricted Stock (3-year performance) $0.00 1,727 0 Direct
Common Stock 2018 Performance Based Restricted Stock (1-year performance) $0.00 516 0 Direct
Common Stock 2018 Performance Based Restricted Stock (3-year performance) $0.00 3,056 0 Direct
Common Stock 2018 Time-Based Restricted Stock $0.00 1,528 0 Direct
Common Stock 2019 Performance Based Restricted Stock (3-year performance) $0.00 4,398 0 Direct
Common Stock 2019 Time-Based Restricted Stock $0.00 2,932 0 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
1,727 0 Direct
516 0 Direct
3,056 0 Direct
1,528 0 Direct
4,398 0 Direct
2,932 0 Direct
Footnotes
  1. These shares are held by Lynn B. Fuller Trust Under Agreement dated 5-7-96, Lynn B. Fuller Trustee
  2. 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.
  3. These shares are held by Cynthia A Fuller Declaration of Trust under agreement dated 7/2/2015, Cynthia A Fuller, Trustee
  4. 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.
  5. Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
  6. These restricted stock units vest in 2020 if certain performance measures are achieved by the Issuer.
  7. These restricted stock units vest on 3-6-2021 if certain performance measures are achieved by the Issuer.
  8. These restricted stock units vest in 2021 if certain performance measures are achieved by the Issuer.
  9. Of these restricted stock units, 1/3 vest in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020.
  10. These restricted stock units vest in 2022 if certain performance measures are achieved by the Issuer
  11. 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.