Stein David L's Form 4 filing
Associated Banc-Corp (ASB) · filed Feb 10, 2022
- Accession no.
- 0001127602-22-004117
- Filed
- Feb 10, 2022
- Trade date
- Feb 8-9, 2022
- Filing delay
- 2 days
- 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 $204.5K. 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 8, 2022 | Common Stock $0.01 Par Value | AGrant or awardAcquired | +43 | $0.00 | $0 | 70,877 | Direct | |
| Feb 9, 2022 | Common Stock $0.01 Par Value | FTax withholdingDisposed | −730 | $25.71 | −$18,768.3 | 70,147 | Direct | |
| Feb 9, 2022 | Common Stock $0.01 Par Value | MOption exerciseAcquired | +8,030 | $14.02 | +$112,580.6 | 78,177 | Direct | |
| Feb 9, 2022 | Common Stock $0.01 Par Value | SSaleDisposed | −8,030 | $25.47 | −$204,524.1 | 70,147 | 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 9, 2022 | Common Stock $0.01 Par Value | MOption exerciseDisposed | −8,030 | $0.00 | $0 | 0 | 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.