SEC Form 4 · accession 0001127602-16-065805
ASSOCIATED BANC-CORP · ASB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John A. Utz
Officer — Executive Vice President
Period of report
Nov 1, 2016
Accepted (ET)
Nov 2, 2016 · 10:54 am 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 | Nov 1, 2016 | M | 4,178 | $14.02 | A | 48,468 | D | |
| Common Stock $0.01 Par Value | Nov 1, 2016 | S | 4,178 | $20.0366 | D | 44,290 | D | |
| Common Stock $0.01 Par Value | Nov 1, 2016 | M | 12,355 | $17.02 | A | 56,645 | D | |
| Common Stock $0.01 Par Value | Nov 1, 2016 | S | 5,526 | $20.05 | D | 51,119 | D | |
| Common Stock $0.01 Par Value | Nov 1, 2016 | S | 6,729 | $20.055 | D | 44,390 | D | |
| Common Stock $0.01 Par Value | Nov 1, 2016 | S | 100 | $20.075 | D | 44,290 | D | |
| Common Stock $0.01 Par Value | holding | — | — | — | 9,366 | I | 401(k) Plan |
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 | Nov 1, 2016 | M | 4,178 | D | — | Jan 22, 2023 | Common Stock $0.01 Par Value | 4,178 | 12,659 | D |
| Non-qualified Stock Option (Right to Buy)F2 | $17.02 | Nov 1, 2016 | M | 12,355 | D | — | Jan 27, 2024 | Common Stock $0.01 Par Value | 12,355 | 14,755 | 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.
- F2Options vest in annual increments over 4 years. 25% will vest on each anniversary after the grant date.