Timothy J. Lau - 01 Jun 2021 Form 4/A - Amendment Insider Report for ASSOCIATED BANC-CORP (ASB)

Role
Executive Vice President
Signature
/s/ Lynn M. Floeter, attorney-in-fact for Timothy J. Lau
Issuer symbol
ASB
Transactions as of
01 Jun 2021
Net transactions value
-$55,307
Form type
4/A - Amendment
Filing time
03 Jun 2021, 12:49:30 UTC
Date Of Original Report
02 Jun 2021
Next filing
12 Nov 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ASB Common Stock $0.01 Par Value Sale $226,054 -9,751 -15% $23.18 55,019 01 Jun 2021 Direct F1, F2
transaction ASB Common Stock $0.01 Par Value Options Exercise $108,476 +6,139 +10% $17.67 64,770 01 Jun 2021 Direct
transaction ASB Common Stock $0.01 Par Value Options Exercise $62,271 +3,612 +6.6% $17.24 58,631 01 Jun 2021 Direct
holding ASB Common Stock $0.01 Par Value 1,571 01 Jun 2021 401(k) Plan

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ASB Non-qualified Stock Option (Right to Buy) Options Exercise $0 -6,139 -100% $0.000000* 0 01 Jun 2021 Common Stock $0.01 Par Value 6,139 $17.67 Direct F3
transaction ASB Non-qualified Stock Option (Right to Buy) Options Exercise $0 -3,612 -100% $0.000000* 0 01 Jun 2021 Common Stock $0.01 Par Value 3,612 $17.24 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.180 to $23.185, 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.
F2 The weighted average price was inadvertently left out on the original Form 4 filing on 6/2/2021.
F3 Options vest in annual increments over 4 years. 25% will vest on each anniversary after the grant date.
F4 Option vests in four equal annual installments beginning on February 8, 2016.