SEC Form 4 · accession 0001127602-17-004559
ASSOCIATED BANC-CORP · ASB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher Del Moral-Niles
Officer — Chief Financial Officer
Period of report
Feb 6, 2017
Accepted (ET)
Feb 8, 2017 · 3:48 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 6, 2017 | A | 24,536 | $0.00 | A | 98,723 | D | |
| Common Stock $0.01 Par Value | Feb 6, 2017 | F | 9,116 | $25.20 | D | 89,607 | 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)F3 | $25.20 | Feb 6, 2017 | A | 28,380 | A | — | Feb 6, 2027 | Common Stock $0.01 Par Value | 28,380 | 28,380 | D |
Explanation of responses
- F1Includes 15,733 shares awarded pursuant to vesting of performance-based restricted stock units ("PRSUs") granted in 2014; 2,934 shares attributable to the time-based portion, of PRSUs granted in 2017, and 5,869 shares underlying time-based RSUs ("TRSUs") granted in 2017, which will vest in four equal annual installments beginning on February 8, 2018.
- F2Shares were surrendered to satisfy tax withholding obligations arising from the vesting of restricted stock.
- F3Option vests in four equal annual installments beginning on February 8, 2018.