SEC Form 4 · accession 0001127602-17-006809
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 15, 2017
Accepted (ET)
Feb 17, 2017 · 1:52 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 15, 2017 | M | 4,703 | $14.04 | A | 87,786 | D | |
| Common Stock $0.01 Par Value | Feb 15, 2017 | S | 303 | $26.275 | D | 87,483 | D | |
| Common Stock $0.01 Par Value | Feb 15, 2017 | S | 4,400 | $26.2843 | D | 83,083 | D | |
| Common Stock $0.01 Par Value | Feb 15, 2017 | M | 6,763 | $14.02 | A | 89,846 | D | |
| Common Stock $0.01 Par Value | Feb 15, 2017 | S | 4,763 | $26.25 | D | 85,083 | D | |
| Common Stock $0.01 Par Value | Feb 15, 2017 | S | 1,700 | $26.275 | D | 83,383 | D | |
| Common Stock $0.01 Par Value | Feb 15, 2017 | S | 300 | $26.2843 | D | 83,083 | 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 | $14.04 | Feb 15, 2017 | M | 4,703 | D | — | Mar 23, 2022 | Common Stock $0.01 Par Value | 4,703 | 0 | D |
| Non-qualified Stock Option (Right to Buy)F1 | $14.02 | Feb 15, 2017 | M | 6,763 | D | — | Jan 22, 2023 | Common Stock $0.01 Par Value | 6,763 | 25,000 | 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.