SEC Form 4 · accession 0000920112-18-000277

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

Nov 16, 2018

Accepted (ET)

Nov 28, 2018 · 5:32 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 Stock^F2,F1	Nov 16, 2018	G	30,769	$0.00	A	656,879	I	As Trustee
Common Stock^F5	Nov 16, 2018	W	123,078	$0.00	D	0	I	As Trustee
Common Stock	holding	—	—		—	0	D
Common Stock^F1	holding	—	—		—	626,110	I	As Trustee
Common Stock^F3	holding	—	—		—	5,000	I	Spouses Trust
Common Stock^F4	holding	—	—		—	301,616	I	Family LLLP
Common Stock^F5	holding	—	—		—	123,078	I	As Trustee
Common Stock^F6	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	D/I
2018 Time-Based Restricted Stock^F7,F8	—	holding	—	—	—	—	—	Common Stock	2,292	D
2018 Performance Based Restricted Stock (3-year performance)^F7,F9	—	holding	—	—	—	—	—	Common Stock	3,056	D
2018 Performance Based Restricted Stock (1-year performance)^F7,F10	—	holding	—	—	—	—	—	Common Stock	2,292	D
2017 Time-Based Restricted Stock^F7,F8	—	holding	—	—	—	—	—	Common Stock	2,303	D
2017 Performance Based Restricted Stock (3-year performance)^F7,F11	—	holding	—	—	—	—	—	Common Stock	1,727	D
2017 Performance Based Restricted Stock (1-year performance)^F7,F12	—	holding	—	—	—	—	—	Common Stock	2,108	D
2016 Time-Based Restricted Stock^F7,F13	—	holding	—	—	—	—	—	Common Stock	1,587	D
2016 Performance Based Restricted Stock (3-year performance)^F7,F14	—	holding	—	—	—	—	—	Common Stock	2,524	D
2016 Performance Based Restricted Stock (1-year performance)^F7,F15	—	holding	—	—	—	—	—	Common Stock	5,300	D
2015 Time-Based Restricted Stock^F7,F16	—	holding	—	—	—	—	—	Common Stock	3,333	D
2014 Time-Based Restricted Stock^F7,F17	—	holding	—	—	—	—	—	Common Stock	1,733	D

Explanation of responses

F1These shares are held by Lynn B. Fuller Trust Under Agreement dated 5-7-96, Lynn B. Fuller Trustee
F10These restricted stock units vest on 3-6-2021 if certain performance measures are achieved by the Issuer.
F11These restricted stock units vest in 2020 if certain performance measures are achieved by the Issuer.
F12These restricted stock units vest on 1-19-2020 if certain performance measures are achieved by the Issuer.
F13Of 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.
F14These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer.
F15These restricted stock units vest on 1-19-2019 if certain performance measures are achieved by the Issuer.
F16Of 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.
F17Of 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.
F2Shares were acquired from the Emma O Fuller Trust dissolution to four grandchildren.
F3These shares are held by Cynthia A Fuller Declaration of Trust under agreement dated 7/2/2015, Cynthia A Fuller, Trustee
F4These shares are held by LBF Heartland Partnership LLLC - Lynn B Fuller is the General Partner. Wife and two (2) adult sons are Limited Partners.
F5These shares held by Emma O. Fuller Trust dated 9-3-85 Dubuque Bank & Trust, Lynn B Fuller, Trustee
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.
F7Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
F8Of these restricted stock units, 1/3 vest in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020.
F9These restricted stock units vest in 2021 if certain performance measures are achieved by the Issuer.