SEC Form 4 · accession 0001127602-15-017510
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 14, 2015
Accepted (ET)
May 15, 2015 · 4:37 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 14, 2015 | M | 19,656 | $12.89 | A | 69,255 | D | |
| Common Stock $0.01 Par Value | May 14, 2015 | S | 19,656 | $19.21 | D | 49,599 | D | |
| Common Stock $0.01 Par Value | May 14, 2015 | F | 3,407 | $19.26 | D | 46,192 | 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)F2 | $12.89 | May 14, 2015 | M | 19,656 | D | — | May 14, 2022 | Common Stock $0.01 Par Value | 19,656 | 19,656 | D |
Explanation of responses
- F1Shares were surrendered to satisfy tax withholding obligations arising from the vesting of restricted stock.
- F2Stock Options vested 50% on the third anniversary after the grant date and the remaining 50% will vest on the fifth anniversary after the grant date.