SEC Form 4 · accession 0001127602-18-011685
ASSOCIATED BANC-CORP · ASB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John A. Utz
Officer — Executive Vice President
Period of report
Mar 13, 2018
Accepted (ET)
Mar 15, 2018 · 3:04 pm EDT
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 | Mar 13, 2018 | S | 4,525 | $26.707 | D | 42,384 | D | |
| Common Stock $0.01 Par Value | Mar 13, 2018 | M | 8,340 | $12.97 | A | 50,724 | D | |
| Common Stock $0.01 Par Value | Mar 13, 2018 | S | 5,745 | $26.755 | D | 44,979 | D | |
| Common Stock $0.01 Par Value | Mar 13, 2018 | S | 2,595 | $26.80 | D | 42,384 | D | |
| Common Stock $0.01 Par Value | holding | — | — | — | 9,966 | 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 | $12.97 | Mar 13, 2018 | M | 8,340 | D | — | Jan 23, 2022 | Common Stock $0.01 Par Value | 8,340 | 8,341 | 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.