SEC Form 4 · accession 0001127602-19-004667
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
Feb 5, 2019
Accepted (ET)
Feb 7, 2019 · 8:43 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 5, 2019 | A | 31,155 | $0.00 | A | 84,781 | D | |
| Common Stock $0.01 Par Value | Feb 5, 2019 | F | 11,707 | $22.01 | D | 73,074 | D | |
| Common Stock $0.01 Par Value | holding | — | — | — | 25,001 | 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 | $22.01 | Feb 5, 2019 | A | 39,212 | A | — | Feb 5, 2029 | Common Stock $0.01 Par Value | 39,212 | 39,212 | D |
Explanation of responses
- F1Includes 20,592 shares awarded pursuant to vesting of performance-based restricted stock units ("PRSUs") granted in 2016 and 10,563 shares Time-based RSAs ("TRSAs") granted in 2019, which will vest in four equal annual installments beginning on February 8, 2020.
- F2Shares were surrendered to satisfy tax withholding obligations resulting from the vesting of awards.
- F3Option vests in four equal annual installments beginning on February 8, 2020.