SEC Form 4 · accession 0001127602-16-039397
ASSOCIATED BANC-CORP · ASB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
David L Stein
Officer — Executive Vice President
Period of report
Feb 1, 2016
Accepted (ET)
Feb 3, 2016 · 7:33 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 1, 2016 | A | 19,533 | $0.00 | A | 53,064 | D | |
| Common Stock $0.01 Par Value | Feb 2, 2016 | F | 451 | $16.88 | D | 52,613 | D | |
| Common Stock $0.01 Par Value | holding | — | — | — | 56,210 | I | by Trust | |
| Common Stock $0.01 Par Value | holding | — | — | — | 4,352 | 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 | $17.38 | Feb 1, 2016 | A | 29,536 | A | — | Feb 1, 2026 | Common Stock $0.01 Par Value | 29,536 | 29,536 | D |
Explanation of responses
- F1Includes 11012 shares awarded pursuant to vesting of previously granted performance based restricted stock units ("RSUs"); 2840 shares attributable to the time-based portion of RSUs granted in 2016; and 5681 shares of restricted stock granted in 2016, which vests in four equal annual installments beginning on February 8, 2017.
- 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, 2017.