SEC Form 4 · accession 0001127602-16-067376
ASSOCIATED BANC-CORP · ASB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott Hickey
Officer — Chief Credit Officer
Period of report
Nov 14, 2016
Accepted (ET)
Nov 16, 2016 · 2:35 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 | Nov 14, 2016 | M | 20,000 | $19.50 | A | 40,341 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 800 | $22.65 | D | 39,541 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 6,600 | $22.70 | D | 32,941 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 3,500 | $22.725 | D | 29,441 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 4,085 | $22.75 | D | 25,356 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 1,900 | $22.775 | D | 23,456 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 2,115 | $22.80 | D | 21,341 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 1,000 | $22.825 | D | 20,341 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | M | 30,000 | $17.26 | A | 50,341 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 1,100 | $22.65 | D | 49,241 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 100 | $22.675 | D | 49,141 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 9,100 | $22.70 | D | 40,041 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 7,100 | $22.725 | D | 32,941 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 5,500 | $22.75 | D | 27,441 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 2,400 | $22.775 | D | 25,041 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 3,600 | $22.80 | D | 21,441 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 1,100 | $22.825 | D | 20,341 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | M | 18,837 | $12.97 | A | 39,178 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 800 | $22.65 | D | 38,378 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 200 | $22.675 | D | 38,178 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 5,400 | $22.70 | D | 32,778 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 4,100 | $22.725 | D | 28,678 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 3,500 | $22.75 | D | 25,178 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 1,800 | $22.775 | D | 23,378 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 2,537 | $22.80 | D | 20,841 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 400 | $22.825 | D | 20,441 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 100 | $22.85 | D | 20,341 | D | |
| Common Stock $0.01 Par Value | holding | — | — | — | 14,252 | I | by Trust |
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 | $19.50 | Nov 14, 2016 | M | 20,000 | D | — | Oct 22, 2018 | Common Stock $0.01 Par Value | 20,000 | 0 | D |
| Non-qualified Stock Option (Right to Buy)F1 | $17.26 | Nov 14, 2016 | M | 30,000 | D | — | Jan 28, 2019 | Common Stock $0.01 Par Value | 30,000 | 0 | D |
| Non-qualified Stock Option (Right to Buy)F1 | $12.97 | Nov 14, 2016 | M | 18,837 | D | — | Jan 23, 2022 | Common Stock $0.01 Par Value | 18,837 | 18,837 | D |
Explanation of responses
- F1Options vest 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.