SEC Form 4 · accession 0000920112-15-000030
HEARTLAND FINANCIAL USA INC · HTLF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lynn B Fuller
Officer — Chairman & CEO · Director
Period of report
Jan 20, 2015
Accepted (ET)
Jan 22, 2015 · 12:42 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000920112
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jan 20, 2015 | A | 5,000 | $0.00 | A | 35,450 | D | |
| Common StockF3 | holding | — | — | — | 852,936 | I | As Trustee | |
| Common Stock | holding | — | — | — | 5,000 | I | By Spouse | |
| Common StockF4 | holding | — | — | — | 123,078 | I | As Trustee | |
| Common StockF5 | holding | — | — | — | 12,188 | I | HTLF Retirement Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (Right To Buy)F6 | $29.65 | holding | — | — | — | — | Jan 16, 2017 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1Includes 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.
- F2Includes 10,975 shares of Performance Based Restricted Stock.
- F3Shares held by Lynn B. Fuller Trust Under Agreement dated 5-7-96, Lynn B. Fuller Trustee
- F4Shares held by the Emma O. Fuller Trust dated 9-3-85 Dubuque Bank & Trust, L.S. Fuller & L.B. Fuller, co-trustees
- F5Represents 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.
- F6Represents 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.