SEC Form 4 · accession 0001127602-18-032447
ASSOCIATED BANC-CORP · ASB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael T Crowley Jr.
Director
Period of report
Nov 5, 2018
Accepted (ET)
Nov 7, 2018 · 5:04 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 | Nov 5, 2018 | M | 844 | $16.99 | A | 681,905 | D | |
| Common Stock $0.01 Par Value | holding | — | — | — | 59,728 | I | By Spouse | |
| Common Stock $0.01 Par ValueF1 | holding | — | — | — | 17,503 | I | By Trust | |
| Common Stock $0.01 Par ValueF1 | holding | — | — | — | 39,743 | I | By Trust | |
| Common Stock $0.01 Par ValueF1 | holding | — | — | — | 31,311 | I | By Trust | |
| Common Stock $0.01 Par ValueF1 | holding | — | — | — | 60,332 | I | By Trust | |
| 401(k) PlanF2 | holding | — | — | — | 69,132 | I | By 401(k) Plan | |
| Non-Cumulative Perpetual Preferred Stock, Series E (ASBPRE) | holding | — | — | — | 4,000 | D | ||
| Non-Cumulative Perpetual Preferred Stock, Series E (ASBPRE) | holding | — | — | — | 4,000 | I | by Spouse |
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) | $16.99 | Nov 5, 2018 | M | 844 | D | Feb 1, 2018 | Feb 1, 2019 | Common Stock $0.01 Par Value | 844 | 0 | D |
Explanation of responses
- F1As trustee of a trust.
- F2Represents shares of Associated Common Stock held in Bank Mutual Corporation 401(k) Plan received by the Insider in the Merger in exchange for shares of Bank Mutual Common Stock formerly held in the plan, based on most recent plan report.