SEC Form 4 · accession 0001127602-17-003593
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
Feb 1, 2017
Accepted (ET)
Feb 2, 2017 · 4:41 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 | 9,926 | $14.02 | A | 58,470 | D | |
| Common Stock $0.01 Par Value | Feb 1, 2017 | S | 800 | $25.45 | D | 57,670 | D | |
| Common Stock $0.01 Par Value | Feb 1, 2017 | S | 2,100 | $25.50 | D | 55,570 | D | |
| Common Stock $0.01 Par Value | Feb 1, 2017 | S | 482 | $25.55 | D | 55,088 | D | |
| Common Stock $0.01 Par Value | Feb 1, 2017 | S | 6,444 | $25.60 | D | 48,644 | D | |
| Common Stock $0.01 Par Value | Feb 1, 2017 | S | 100 | $25.65 | D | 48,544 | D | |
| Common Stock $0.01 Par Value | holding | — | — | — | 1,364 | 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 | Feb 1, 2017 | M | 9,926 | D | — | Jan 22, 2023 | Common Stock $0.01 Par Value | 9,926 | 0 | 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.