SEC Form 4 · accession 0001127602-17-002327
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
Jan 24, 2017
Accepted (ET)
Jan 25, 2017 · 3:11 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 | Jan 24, 2017 | M | 18,837 | $12.97 | A | 39,178 | D | |
| Common Stock $0.01 Par Value | Jan 24, 2017 | S | 2,837 | $25.30 | D | 36,341 | D | |
| Common Stock $0.01 Par Value | Jan 24, 2017 | S | 3,800 | $25.3075 | D | 32,541 | D | |
| Common Stock $0.01 Par Value | Jan 24, 2017 | S | 6,000 | $25.325 | D | 26,541 | D | |
| Common Stock $0.01 Par Value | Jan 24, 2017 | S | 4,600 | $25.35 | D | 21,941 | D | |
| Common Stock $0.01 Par Value | Jan 24, 2017 | S | 1,100 | $25.3575 | D | 20,841 | D | |
| Common Stock $0.01 Par Value | Jan 24, 2017 | S | 500 | $25.375 | D | 20,341 | D | |
| Common Stock $0.01 Par Value | Jan 24, 2017 | M | 25,779 | $14.02 | A | 46,120 | D | |
| Common Stock $0.01 Par Value | Jan 24, 2017 | S | 6,379 | $25.25 | D | 39,741 | D | |
| Common Stock $0.01 Par Value | Jan 24, 2017 | S | 300 | $25.275 | D | 39,441 | D | |
| Common Stock $0.01 Par Value | Jan 24, 2017 | S | 5,600 | $25.30 | D | 33,841 | D | |
| Common Stock $0.01 Par Value | Jan 24, 2017 | S | 10,200 | $25.325 | D | 23,641 | D | |
| Common Stock $0.01 Par Value | Jan 24, 2017 | S | 900 | $25.35 | D | 22,741 | D | |
| Common Stock $0.01 Par Value | Jan 24, 2017 | S | 2,400 | $25.375 | 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 | $12.97 | Jan 24, 2017 | M | 18,837 | D | — | Jan 23, 2022 | Common Stock $0.01 Par Value | 18,837 | 0 | D |
| Non-qualified Stock Option (Right to Buy)F1 | $14.02 | Jan 24, 2017 | M | 25,779 | D | — | Jan 22, 2023 | Common Stock $0.01 Par Value | 25,779 | 0 | 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.