SEC Form 4 · accession 0001127602-17-033140
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
Nov 21, 2017
Accepted (ET)
Nov 22, 2017 · 1:07 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 | Nov 21, 2017 | S | 1,991 | $24.821 | D | 81,092 | D | |
| Common Stock $0.01 Par Value | Nov 21, 2017 | S | 8 | $24.756 | D | 81,084 | D | |
| Common Stock $0.01 Par Value | Nov 21, 2017 | M | 10,000 | $12.97 | A | 91,084 | D | |
| Common Stock $0.01 Par Value | Nov 21, 2017 | S | 8,600 | $24.70 | D | 82,484 | D | |
| Common Stock $0.01 Par Value | Nov 21, 2017 | S | 1,400 | $24.725 | D | 81,084 | 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 | $12.97 | Nov 21, 2017 | M | 10,000 | D | — | Jan 23, 2022 | Common Stock $0.01 Par Value | 10,000 | 10,000 | 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.