Initial Statement of Beneficial Ownership (3)
November 06 2019 - 2:04PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
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Ahern Patrick Edward |
2. Date of Event Requiring Statement (MM/DD/YYYY)
10/29/2019
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3. Issuer Name and Ticker or Trading Symbol
ASSOCIATED BANC-CORP [ASB]
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(Last)
(First)
(Middle)
C/O ASSOCIATED BANC CORP, 433 MAIN STREET |
4. 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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(Street)
GREEN BAY, WI 54301
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Common Stock $0.01 Par Value | 2916.66 | I | Employer 401(k) plan |
| Common Stock $0.01 Par Value | 14872 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Non-qualified Stock Option (Right to Buy) | (1) | 12/14/2020 | Common Stock $0.01 Par Value | 3000 | $15.05 | D | |
| Non-qualified Stock Option (Right to Buy) | (1) | 1/25/2021 | Common Stock $0.01 Par Value | 4000 | $14.26 | D | |
| Non-qualified Stock Option (Right to Buy) | (2) | 2/26/2026 | Common Stock $0.01 Par Value | 17823 | $17.50 | D | |
| Non-qualified Stock Option (Right to Buy) | (3) | 3/17/2024 | Common Stock $0.01 Par Value | 18465 | $17.67 | D | |
| Non-qualified Stock Option (Right to Buy) | (4) | 3/3/2025 | Common Stock $0.01 Par Value | 18889 | $18.59 | D | |
| Non-qualified Stock Option (Right to Buy) | (5) | 2/8/2029 | Common Stock $0.01 Par Value | 17133 | $23.45 | D | |
| Non-qualified Stock Option (Right to Buy) | (6) | 3/1/2028 | Common Stock $0.01 Par Value | 13356 | $24.70 | D | |
| Non-qualified Stock Option (Right to Buy) | (7) | 2/27/2027 | Common Stock $0.01 Par Value | 11193 | $26.00 | D | |
| Explanation of Responses: |
| (1) | 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. |
| (2) | Option vests in four equal annual installments beginning on 2/8/2017. |
| (3) | Option vests in four equal annual installments beginning on 3/17/2015. |
| (4) | Option vests in four equal annual installments beginning on 2/8/2016. |
| (5) | Option vests in four equal annual installments beginning on 2/8/2020. |
| (6) | Option vests in four equal annual installments beginning on 2/8/2019. |
| (7) | Option vests in four equal annual installments beginning on 2/8/2018. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Ahern Patrick Edward
C/O 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 Patrick Edward Ahern | | 11/6/2019 |
| **Signature of Reporting Person | Date |
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