SEC Form 4 · accession 0001127602-17-033515
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
Nov 29, 2017
Accepted (ET)
Nov 30, 2017 · 1:42 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 29, 2017 | M | 6,000 | $24.89 | A | 61,038 | D | |
| Common Stock $0.01 Par Value | Nov 29, 2017 | S | 6,000 | $26.00 | D | 55,038 | D | |
| Common Stock $0.01 Par Value | Nov 29, 2017 | M | 5,000 | $17.26 | A | 60,038 | D | |
| Common Stock $0.01 Par Value | Nov 29, 2017 | S | 5,000 | $26.00 | D | 55,038 | D | |
| Common Stock $0.01 Par Value | holding | — | — | — | 1,385 | 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 | $24.89 | Nov 29, 2017 | M | 6,000 | D | — | Jan 23, 2018 | Common Stock $0.01 Par Value | 6,000 | 0 | D |
| Non-qualified Stock Option (Right to Buy)F1 | $17.26 | Nov 29, 2017 | M | 5,000 | D | — | Jan 28, 2019 | Common Stock $0.01 Par Value | 5,000 | 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.