SEC Form 4 · accession 0001127602-18-024592
ASSOCIATED BANC-CORP · ASB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Spencer Payne Jr.
Officer — Executive Vice President
Period of report
Jul 31, 2018
Accepted (ET)
Aug 3, 2018 · 4:17 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 | Jul 31, 2018 | F | 824 | $27.00 | D | 14,867 | D | |
| Common Stock $0.01 Par Value | Jul 31, 2018 | F | 1,320 | $27.00 | D | 13,547 | 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)F2,F3 | $17.50 | holding | — | — | — | — | Feb 26, 2026 | Common Stock $0.01 Par Value | 17,823 | 17,823 | D |
| Non-qualified Stock Option (Right to Buy)F2,F3 | $25.20 | holding | — | — | — | — | Feb 6, 2027 | Common Stock $0.01 Par Value | 16,790 | 16,790 | D |
| Non-qualified Stock Option (Right to Buy)F2,F3 | $24.25 | holding | — | — | — | — | Feb 6, 2028 | Common Stock $0.01 Par Value | 22,603 | 22,603 | D |
Explanation of responses
- F1Shares were surrendered to satisfy tax withholding obligations arising from the vesting of restricted stock.
- F2Accelerate and vest as of 7/31/2018. Options remain available through full vesting schedule. Taxable at time options are exercised.
- F3Due to Reporting Person's retirement on August 1, 2018, this stock option grant is now 100% vested