SEC Form 4 · accession 0001127602-17-004240
ASSOCIATED BANC-CORP · ASB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Yee
Officer — Executive Vice President
Period of report
Feb 3, 2017
Accepted (ET)
Feb 7, 2017 · 12:07 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 3, 2017 | M | 7,423 | $17.02 | A | 64,554 | D | |
| Common Stock $0.01 Par Value | Feb 3, 2017 | S | 3,500 | $25.00 | D | 61,054 | D | |
| Common Stock $0.01 Par Value | Feb 3, 2017 | S | 700 | $25.025 | D | 60,354 | D | |
| Common Stock $0.01 Par Value | Feb 3, 2017 | S | 2,823 | $25.05 | D | 57,531 | D | |
| Common Stock $0.01 Par Value | Feb 3, 2017 | S | 400 | $25.075 | D | 57,131 | D | |
| Common Stock $0.01 Par Value | Feb 3, 2017 | M | 9,717 | $17.24 | A | 66,848 | D | |
| Common Stock $0.01 Par Value | Feb 3, 2017 | S | 117 | $25.00 | D | 66,731 | D | |
| Common Stock $0.01 Par Value | Feb 3, 2017 | S | 2,400 | $25.05 | D | 64,331 | D | |
| Common Stock $0.01 Par Value | Feb 3, 2017 | S | 1,900 | $25.075 | D | 62,431 | D | |
| Common Stock $0.01 Par Value | Feb 3, 2017 | S | 4,900 | $25.10 | D | 57,531 | D | |
| Common Stock $0.01 Par Value | Feb 3, 2017 | S | 400 | $25.125 | D | 57,131 | D |
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 | $17.02 | Feb 3, 2017 | M | 7,423 | D | — | Jan 27, 2024 | Common Stock $0.01 Par Value | 7,423 | 7,423 | D |
| Non-qualified Stock Option (Right to Buy)F2 | $17.24 | Feb 3, 2017 | M | 9,717 | D | — | Feb 2, 2025 | Common Stock $0.01 Par Value | 9,717 | 19,434 | D |
Explanation of responses
- F1Options vest in annual increments over 4 years. 25% will vest on each anniversary after the grant date.
- F2Option vests in four equal annual installments beginning on February 8, 2016.