SEC Form 4 · accession 0001127602-18-017166
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
May 10, 2018
Accepted (ET)
May 11, 2018 · 3:14 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 | May 10, 2018 | M | 12,500 | $14.02 | A | 67,669 | D | |
| Common Stock $0.01 Par Value | May 10, 2018 | F | 8,414 | $27.00 | D | 59,255 | D | |
| Common Stock $0.01 Par Value | holding | — | — | — | 27,183 | I | by Trust |
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 | $14.02 | May 10, 2018 | M | 12,500 | D | — | Jan 22, 2023 | Common Stock $0.01 Par Value | 12,500 | 12,500 | D |
Explanation of responses
- F1Shares were surrendered to satisfy tax withholding obligation arising from the exercise of stock options.
- F2Portion of 2013 Grant expiring 1/22/2023
- F3Options 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.