SEC Form 4 · accession 0001127602-16-067377
ASSOCIATED BANC-CORP · ASB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy J Lau
Officer — Executive Vice President
Period of report
Nov 14, 2016
Accepted (ET)
Nov 16, 2016 · 2:37 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 | 10,000 | $14.02 | A | 60,276 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 3,801 | $23.10 | D | 56,475 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 3,696 | $23.105 | D | 52,779 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 2,403 | $23.15 | D | 50,376 | D | |
| Common Stock $0.01 Par Value | Nov 14, 2016 | S | 100 | $23.175 | D | 50,276 | D | |
| Common Stock $0.01 Par Value | holding | — | — | — | 1,359 | 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 14, 2016 | M | 10,000 | D | — | Jan 22, 2023 | Common Stock $0.01 Par Value | 10,000 | 9,926 | 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.