Stein David L's Form 4 filing
Associated Banc-Corp (ASB) · filed Aug 10, 2021
- Accession no.
- 0001127602-21-023439
- Filed
- Aug 10, 2021
- Trade date
- Aug 9, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 1 derivative transaction. Open-market sales total $335.2K. It was filed 1 day after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Stein David LCIK 0001404929 | Officer (Executive Vice President) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 9, 2021 | Common Stock $0.01 Par Value | MOption exerciseAcquired | +16,302 | $14.02 | +$228,554.04 | 80,251 | Direct | |
| Aug 9, 2021 | Common Stock $0.01 Par Value | SSaleDisposed | −15,426 | $20.56 | −$317,158.56 | 64,825 | Direct | |
| Aug 9, 2021 | Common Stock $0.01 Par Value | SSaleDisposed | −776 | $20.57 | −$15,962.32 | 64,049 | Direct | |
| Aug 9, 2021 | Common Stock $0.01 Par Value | SSaleDisposed | −100 | $20.58 | −$2,058 | 63,949 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 9, 2021 | Common Stock $0.01 Par Value | MOption exerciseDisposed | −16,302 | $0.00 | $0 | 8,030 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.