Lynn B. Fuller - Aug 6, 2021 Form 4 Insider Report for HEARTLAND FINANCIAL USA INC (HTLF)

Role
Executive Operating Chairman, Director
Signature
/s/ Lynn B. Fuller
Stock symbol
HTLF
Transactions as of
Aug 6, 2021
Transactions value $
$0
Form type
4
Date filed
9/14/2021, 04:37 PM
Previous filing
Jul 1, 2021
Next filing
Mar 3, 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HTLF Common Stock Gift $0 +6K +120% $0.00 11K Aug 6, 2021 Spouses Trust F3, F4
holding HTLF Common Stock 92.7K Aug 6, 2021 GST TRUST
holding HTLF Common Stock 6.03K Aug 6, 2021 As Trustee F1
holding HTLF Common Stock 254K Aug 6, 2021 Family II LLLP
holding HTLF Common Stock 313K Aug 6, 2021 Family LLLP F2
holding HTLF Common Stock 5K Aug 6, 2021 Spouses Trust F3
holding HTLF Common Stock 12.2K Aug 6, 2021 HTLF Retirement Plan F5

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding HTLF 2019 Performance Based Restricted Stock (3-year performance) 0 Aug 6, 2021 Common Stock 4.4K Direct F6, F7
holding HTLF 2019 Time-Based Restricted Stock 0 Aug 6, 2021 Common Stock 1.47K Direct F6, F8
holding HTLF 2020 Performance Based Restricted Stock (3-year performance) 0 Aug 6, 2021 Common Stock 4.95K Direct F6, F9
holding HTLF 2020 Time-Based Restricted Stock 0 Aug 6, 2021 Common Stock 3.3K Direct F6, F10
holding HTLF 2021 Performance Based Restricted Stock (3-year performance) 0 Aug 6, 2021 Common Stock 5.5K Direct F6, F11
holding HTLF 2021 Time-Based Restricted Stock 0 Aug 6, 2021 Common Stock 3.66K Direct F6, F12
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These shares are held by Lynn B. Fuller Trust Under Agreement dated 5-7-96, Lynn B. Fuller Trustee
F2 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.
F3 These shares are held by Cynthia A Fuller Declaration of Trust under agreement dated 7/2/2015, Cynthia A Fuller, Trustee
F4 Shares received from inheritance
F5 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.
F6 Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
F7 These restricted stock units vest in 2022 if certain performance measures are achieved by the Issuer
F8 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.
F9 These restricted stock units vest in 2023 if certain performance measures are achieved by the Issuer
F10 Of these restricted stock units, 1/3 vest on 3-6-2021, 1/3 vest on 3-6-2022, and 1/3 vest on 3-6-2023.
F11 These restricted stock units vest in 2024 if certain performance measures are achieved by the Issuer
F12 Of these restricted stock units, 1/3 vest on 3-6-2022, 1/3 vest on 3-6-2023, and 1/3 vest on 3-6-2024.