SEC Form 4 · accession 0001127602-15-016956
ASSOCIATED BANC-CORP · ASB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Yee
Officer — Executive Vice President
Period of report
May 8, 2015
Accepted (ET)
May 12, 2015 · 2:51 pm EDT
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 | May 8, 2015 | M | 400 | $14.02 | A | 49,999 | D | |
| Common Stock $0.01 Par Value | May 8, 2015 | S | 400 | $19.05 | D | 49,599 | D | |
| Common Stock $0.01 Par Value | May 8, 2015 | S | 4,545 | $19.00 | D | 49,599 | D | |
| Common Stock $0.01 Par Value | May 8, 2015 | M | 4,545 | $14.02 | A | 54,144 | D | |
| Common Stock $0.01 Par Value | May 11, 2015 | M | 15,323 | $14.02 | A | 64,922 | D | |
| Common Stock $0.01 Par Value | May 11, 2015 | S | 15,323 | $19.00 | D | 49,599 | D |
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)F1 | $14.02 | May 8, 2015 | M | 400 | D | — | Jan 22, 2023 | Common Stock $0.01 Par Value | 400 | 29,851 | D |
| Non-qualified Stock Option (Right to Buy)F1 | $14.02 | May 8, 2015 | M | 4,545 | D | — | Jan 22, 2023 | Common Stock $0.01 Par Value | 4,545 | 25,306 | D |
| Non-qualified Stock Option (Right to Buy)F1 | $14.02 | May 11, 2015 | M | 15,323 | D | — | Jan 22, 2023 | Common Stock $0.01 Par Value | 15,323 | 9,983 | D |
Explanation of responses
- F1Options vested in annual increments over 3 years; 34% on the first anniversary after the grant date, and 33% on the second and third anniversaries after the grant date, respectively.