SEC Form 4 · accession 0001127602-17-003585
ASSOCIATED BANC-CORP · ASB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David L Stein
Officer — Executive Vice President
Period of report
Feb 1, 2017
Accepted (ET)
Feb 2, 2017 · 4:39 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, 2017 | M | 7,000 | $18.82 | A | 44,063 | D | |
| Common Stock $0.01 Par Value | Feb 1, 2017 | S | 3,300 | $25.10 | D | 40,763 | D | |
| Common Stock $0.01 Par Value | Feb 1, 2017 | S | 3,700 | $25.1294 | D | 37,063 | D | |
| Common Stock $0.01 Par Value | Feb 1, 2017 | M | 11,500 | $17.26 | A | 48,563 | D | |
| Common Stock $0.01 Par Value | Feb 1, 2017 | S | 7,820 | $25.005 | D | 40,743 | D | |
| Common Stock $0.01 Par Value | Feb 1, 2017 | S | 2,300 | $25.05 | D | 38,443 | D | |
| Common Stock $0.01 Par Value | Feb 1, 2017 | S | 300 | $25.075 | D | 38,143 | D | |
| Common Stock $0.01 Par Value | Feb 1, 2017 | S | 1,080 | $25.10 | D | 37,063 | D | |
| Common Stock $0.01 Par Value | holding | — | — | — | 58,047 | I | by Trust | |
| Common Stock $0.01 Par Value | holding | — | — | — | 4,949 | 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)F1 | $18.82 | Feb 1, 2017 | M | 7,000 | D | — | Jul 23, 2018 | Common Stock $0.01 Par Value | 7,000 | 0 | D |
| Non-qualified Stock Option (Right to Buy)F1 | $17.26 | Feb 1, 2017 | M | 11,500 | D | — | Jan 28, 2019 | Common Stock $0.01 Par Value | 11,500 | 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.