SEC Form 4 · accession 0000920112-16-000252
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 19, 2016
Accepted (ET)
Jan 21, 2016 · 7:06 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 StockF3,F4 | Jan 19, 2016 | A | 4,760 | $0.00 | A | 31,214 | D | |
| Common StockF1 | holding | — | — | — | 572,728 | I | As Trustee | |
| Common Stock | holding | — | — | — | 5,000 | I | By Spouse | |
| Common StockF2 | holding | — | — | — | 301,616 | I | Family LLLP | |
| Common StockF5 | holding | — | — | — | 123,078 | I | As Trustee | |
| Common StockF6 | holding | — | — | — | 12,188 | I | HTLF Retirement Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares held by Lynn B. Fuller Trust Under Agreement dated 5-7-96, Lynn B. Fuller Trustee
- F2Shares held by LBF Heartland Partnership LLLP - Lynn B Fuller is the General Partner. Wife and two (2) adult sons are Limited Partners.
- F3Includes 21,560 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.
- F4Includes 9,654 shares of Performance Based Restricted Stock.
- F5Shares held by the Emma O. Fuller Trust dated 9-3-85 Dubuque Bank & Trust, L.S. Fuller & L.B. Fuller, co-trustees
- F6Represents 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.