SEC Form 4 · accession 0000920112-16-000308
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
Mar 8, 2016
Accepted (ET)
Mar 9, 2016 · 1:08 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,F5 | Mar 8, 2016 | A | 7,572 | $0.00 | A | 37,286 | 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 StockF6 | holding | — | — | — | 123,078 | I | As Trustee | |
| Common StockF7 | 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 Time Based Restricted Stock Units (RSU). Each RSU represents the right to receive one share of common stock.
- F4Includes 15,726 shares of Performance Based Restricted Stock.
- F5Reflects the forfeiture of 1,500 Performance Based Restricted Stock Units granted but not earned in 2015.
- F6Shares held by the Emma O. Fuller Trust dated 9-3-85 Dubuque Bank & Trust, L.S. Fuller & L.B. Fuller, co-trustees
- F7Represents 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.