SEC Form 4 · accession 0001127602-18-004690
ASSOCIATED BANC-CORP · ASB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Timothy J Lau
Officer — Executive Vice President
Period of report
Feb 6, 2018
Accepted (ET)
Feb 8, 2018 · 8:24 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 | 7,208 | $0.00 | A | 61,978 | D | |
| Common Stock $0.01 Par Value | Feb 6, 2018 | F | 1,513 | $24.25 | D | 60,465 | D | |
| Common Stock $0.01 Par Value | holding | — | — | — | 1,392 | 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)F3 | $24.25 | Feb 6, 2018 | A | 19,212 | A | — | Feb 6, 2028 | Common Stock $0.01 Par Value | 19,212 | 19,212 | D |
Explanation of responses
- F1Includes 1,951 shares awarded pursuant to vesting of performance-based restricted stock units ("PRSUs") granted in 2015; 1,752 shares attributable to the time-based portion, of PRSUs granted in 2018, and 3,505 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.