Statement of Changes in Beneficial Ownership (4)
13 November 2019 - 4:28AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Stein David L |
2. Issuer Name and Ticker or Trading Symbol
ASSOCIATED BANC-CORP
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ASB
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Executive Vice President |
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(Last)
(First)
(Middle)
ASSOCIATED BANC-CORP, 433 MAIN STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/8/2019 |
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(Street)
GREEN BAY, WI 54301
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock $0.01 Par Value | 11/8/2019 | | M | | 20000 | A | $12.97 | 69835 | D | |
| Common Stock $0.01 Par Value | 11/8/2019 | | S | | 20000 | D | $21.79 (1) | 49835 | D | |
| Common Stock $0.01 Par Value | | | | | | | | 39213 | I | by Trust |
| Common Stock $0.01 Par Value | | | | | | | | 6527.48 | I | 401(k) Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Non-qualified Stock Option (Right to Buy) | $12.97 | 11/8/2019 | | M | | | 20000 | (2) | 1/23/2022 | Common Stock $0.01 Par Value | 20000 | $0 | 15617 | D | |
| Explanation of Responses: |
| (1) | The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.77 to $21.81, inclusive. The reporting person undertakes to provide to Associated Banc-Corp, any security holders of Associated Banc-Corp, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in the footnotes above. |
| (2) | Options 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. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Stein David L
ASSOCIATED BANC-CORP
433 MAIN STREET
GREEN BAY, WI 54301 |
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| Executive Vice President |
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Signatures
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| /s/ Lynn M. Floeter, attorney-in-fact for David L. Stein | | 11/12/2019 |
| **Signature of Reporting Person | Date |
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