SEC Form 4 · accession 0001127602-15-004415
ASSOCIATED BANC-CORP · ASB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David L Stein
Officer — Executive Vice President
Period of report
Feb 2, 2015
Accepted (ET)
Feb 4, 2015 · 7:22 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000007789
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock $0.01 Par Value | Feb 2, 2015 | A | 15,938 | $0.00 | A | 106,931 | D | |
| Common Stock $0.01 Par Value | Feb 2, 2015 | F | 2,714 | $17.24 | D | 104,217 | D | |
| Common Stock $0.01 Par Value | holding | — | — | — | 3,790 | I | 401(k) Plan | |
| Common Stock $0.01 Par Value | holding | — | — | — | 400 | I | IRA |
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)F3 | $17.24 | Feb 2, 2015 | A | 32,107 | A | — | Feb 2, 2025 | Common Stock $0.01 Par Value | 32,107 | 32,107 | D |
Explanation of responses
- F1Includes 7,673 shares awarded pursuant to vesting of previously granted performance based restricted stock units ("RSUs"); 2,755 shares attributable to the time-based portion of RSUs granted in 2015; and 5,510 shares of restricted stock granted in 2015, which vests in four equal annual installments beginning on February 8, 2016.
- F2Shares were surrendered to satisfy tax withholding obligations resulting from the vesting of awards.
- F3Option vests in four equal annual installments beginning on February 8, 2016.