SEC Form 4 · accession 0001127602-18-004681
ASSOCIATED BANC-CORP · ASB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Randall J. Erickson
Officer — Executive Vice President
Period of report
Feb 6, 2018
Accepted (ET)
Feb 8, 2018 · 8:20 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, 2018 | A | 11,078 | $0.00 | A | 92,727 | D | |
| Common Stock $0.01 Par Value | Feb 6, 2018 | F | 1,768 | $24.25 | D | 90,959 | 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 | $24.25 | Feb 6, 2018 | A | 31,192 | A | — | Feb 6, 2028 | Common Stock $0.01 Par Value | 31,192 | 31,192 | D |
Explanation of responses
- F1Includes 2,543 shares awarded pursuant to vesting of performance-based restricted stock units ("PRSUs") granted in 2015; 2,845 shares attributable to the time-based portion, of PRSUs granted in 2018, and 5,690 shares underlying time-based RSUs ("TRSUs") granted in 2018, which will vest in four equal annual installments beginning on February 8, 2019.
- 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, 2019.