Lau Timothy J's Form 4 filing
Associated Banc-Corp (ASB) · filed Nov 12, 2021
- Accession no.
- 0001127602-21-028927
- Filed
- Nov 12, 2021
- Trade date
- Nov 10, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $336.5K. It was filed 2 days 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 |
|---|---|
| Lau Timothy JCIK 0001507137 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 10, 2021 | Common Stock $0.01 Par Value | SSaleDisposed | −4,000 | $24.04 | −$96,160 | 54,631.36 | Direct | |
| Nov 10, 2021 | Common Stock $0.01 Par Value | MOption exerciseAcquired | +10,000 | $17.38 | +$173,800 | 64,631.36 | Direct | |
| Nov 10, 2021 | Common Stock $0.01 Par Value | SSaleDisposed | −10,000 | $24.03 | −$240,300 | 54,631.36 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 10, 2021 | Common Stock $0.01 Par Value | MOption exerciseDisposed | −10,000 | $0.00 | $0 | 14,152 | 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.