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ASSOCIATED BANC-CORP

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2747
SEC CIK
0000007789
Parsed reports
2,127

Last 12 months

Inside the activity.

0 purchase rows · 28 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202506
Jan 202600
Feb 202604
Mar 202600
Apr 202601
May 202604
Jun 202603
Jul 202604
Aug 202604
Sep 202602
Oct 202600

Latest available

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
December 09, 2016 Filed Dec 13, 2016 16:25 UTC
Docter Judith MExecutive Vice President
SaleCommon Stock $0.01 Par Value 1,800 $25.05 $45,090.00
Disclosure

SEC source: 0001127602-16-069838 · form4.xml · nonDerivative · entry 11

Docter Judith M · CIK 0001344171 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,392.639

Read SEC document
December 09, 2016 Filed Dec 13, 2016 16:25 UTC
Docter Judith MExecutive Vice President
SaleCommon Stock $0.01 Par Value 600 $25.03 $15,015.00
Disclosure

SEC source: 0001127602-16-069838 · form4.xml · nonDerivative · entry 10

Docter Judith M · CIK 0001344171 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,192.639

Read SEC document
December 09, 2016 Filed Dec 13, 2016 16:25 UTC
Docter Judith MExecutive Vice President
SaleCommon Stock $0.01 Par Value 5,076 $25.00 $126,900.00
Disclosure

SEC source: 0001127602-16-069838 · form4.xml · nonDerivative · entry 9

Docter Judith M · CIK 0001344171 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,792.639

Read SEC document
December 09, 2016 Filed Dec 13, 2016 16:25 UTC
Docter Judith MExecutive Vice President
SaleCommon Stock $0.01 Par Value 100 $24.98 $2,497.50
Disclosure

SEC source: 0001127602-16-069838 · form4.xml · nonDerivative · entry 8

Docter Judith M · CIK 0001344171 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,868.639

Read SEC document
December 09, 2016 Filed Dec 13, 2016 16:25 UTC
Docter Judith MExecutive Vice President
SaleCommon Stock $0.01 Par Value 1,476 $24.96 $36,833.58
Disclosure

SEC source: 0001127602-16-069838 · form4.xml · nonDerivative · entry 7

Docter Judith M · CIK 0001344171 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,968.639

Read SEC document
December 09, 2016 Filed Dec 13, 2016 16:25 UTC
Docter Judith MExecutive Vice President
SaleCommon Stock $0.01 Par Value 5,348 $24.95 $133,432.60
Disclosure

SEC source: 0001127602-16-069838 · form4.xml · nonDerivative · entry 6

Docter Judith M · CIK 0001344171 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,444.639

Read SEC document
December 09, 2016 Filed Dec 13, 2016 16:25 UTC
Docter Judith MExecutive Vice President
Exercise / conversionCommon Stock $0.01 Par Value 14,500 $12.97 $188,065.00
Disclosure

SEC source: 0001127602-16-069838 · form4.xml · nonDerivative · entry 5

Docter Judith M · CIK 0001344171 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,792.639

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
December 09, 2016 Filed Dec 13, 2016 16:25 UTC
Docter Judith MExecutive Vice President
SaleCommon Stock $0.01 Par Value 500 $25.08 $12,537.50
Disclosure

SEC source: 0001127602-16-069838 · form4.xml · nonDerivative · entry 4

Docter Judith M · CIK 0001344171 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,292.639

Read SEC document
December 09, 2016 Filed Dec 13, 2016 16:25 UTC
Docter Judith MExecutive Vice President
SaleCommon Stock $0.01 Par Value 1,501 $25.05 $37,600.05
Disclosure

SEC source: 0001127602-16-069838 · form4.xml · nonDerivative · entry 3

Docter Judith M · CIK 0001344171 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,792.639

Read SEC document
December 09, 2016 Filed Dec 13, 2016 16:25 UTC
Docter Judith MExecutive Vice President
SaleCommon Stock $0.01 Par Value 7,999 $25.01 $200,015.00
Disclosure

SEC source: 0001127602-16-069838 · form4.xml · nonDerivative · entry 2

Docter Judith M · CIK 0001344171 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,293.639

Read SEC document
December 09, 2016 Filed Dec 13, 2016 16:25 UTC
Docter Judith MExecutive Vice President
Exercise / conversionCommon Stock $0.01 Par Value 10,000 $17.26 $172,600.00
Disclosure

SEC source: 0001127602-16-069838 · form4.xml · nonDerivative · entry 1

Docter Judith M · CIK 0001344171 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,292.639

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
December 07, 2016 Filed Dec 8, 2016 19:50 UTC
Yee JamesExecutive Vice President
Exercise / conversionNon-qualified Stock Option (Right to Buy) · Derivative 4,660 $0.00 Strike: $17.67 $0.00
Disclosure

SEC source: 0001127602-16-069484 · form4.xml · derivative · entry 4

Yee James · CIK 0001323990 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,660

Underlying: Common Stock $0.01 Par Value · 4,660 shares

Expires 2024-03-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Options vest in annual increments over 4 years. 25% will vest on each anniversary after the grant date.

Read SEC document
December 07, 2016 Filed Dec 8, 2016 19:50 UTC
Yee JamesExecutive Vice President
SaleCommon Stock $0.01 Par Value 600 $24.13 $14,475.00
Disclosure

SEC source: 0001127602-16-069484 · form4.xml · nonDerivative · entry 3

Yee James · CIK 0001323990 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,035

Read SEC document
December 07, 2016 Filed Dec 8, 2016 19:50 UTC
Yee JamesExecutive Vice President
SaleCommon Stock $0.01 Par Value 4,060 $24.10 $97,846.00
Disclosure

SEC source: 0001127602-16-069484 · form4.xml · nonDerivative · entry 2

Yee James · CIK 0001323990 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,635

Read SEC document
December 07, 2016 Filed Dec 8, 2016 19:50 UTC
Yee JamesExecutive Vice President
Exercise / conversionCommon Stock $0.01 Par Value 4,660 $17.67 $82,342.20
Disclosure

SEC source: 0001127602-16-069484 · form4.xml · nonDerivative · entry 1

Yee James · CIK 0001323990 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,695

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
December 06, 2016 Filed Dec 7, 2016 17:45 UTC
Yee JamesExecutive Vice President
Exercise / conversionNon-qualified Stock Option (Right to Buy) · Derivative 9,716 $0.00 Strike: $17.24 $0.00
Disclosure

SEC source: 0001127602-16-069374 · form4.xml · derivative · entry 4

Yee James · CIK 0001323990 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,151

Underlying: Common Stock $0.01 Par Value · 9,716 shares

Expires 2025-02-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Option vests in four equal annual installments beginning on February 8, 2016.

Read SEC document
December 06, 2016 Filed Dec 7, 2016 17:45 UTC
Yee JamesExecutive Vice President
SaleCommon Stock $0.01 Par Value 4,314 $23.63 $101,918.25
Disclosure

SEC source: 0001127602-16-069374 · form4.xml · nonDerivative · entry 3

Yee James · CIK 0001323990 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,035

Read SEC document
December 06, 2016 Filed Dec 7, 2016 17:45 UTC
Yee JamesExecutive Vice President
SaleCommon Stock $0.01 Par Value 5,402 $23.60 $127,487.20
Disclosure

SEC source: 0001127602-16-069374 · form4.xml · nonDerivative · entry 2

Yee James · CIK 0001323990 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,349

Read SEC document
December 06, 2016 Filed Dec 7, 2016 17:45 UTC
Yee JamesExecutive Vice President
Exercise / conversionCommon Stock $0.01 Par Value 9,716 $17.24 $167,503.84
Disclosure

SEC source: 0001127602-16-069374 · form4.xml · nonDerivative · entry 1

Yee James · CIK 0001323990 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,751

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 30, 2016 Filed Nov 30, 2016 20:10 UTC
Stein David LExecutive Vice President
SaleCommon Stock $0.01 Par Value 300 $22.75 $6,825.00
Disclosure

SEC source: 0001127602-16-068650 · form4.xml · nonDerivative · entry 2

Stein David L · CIK 0001404929 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 60,047

Read SEC document
November 30, 2016 Filed Nov 30, 2016 20:10 UTC
Stein David LExecutive Vice President
SaleCommon Stock $0.01 Par Value 6,700 $22.77 $152,565.03
Disclosure

SEC source: 0001127602-16-068650 · form4.xml · nonDerivative · entry 1

Stein David L · CIK 0001404929 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 60,347

Read SEC document
November 28, 2016 Filed Nov 30, 2016 16:49 UTC
BOHN WILLIAM MExecutive Vice President
Exercise / conversionNon-qualified Stock Option (Right to Buy) · Derivative 5,000 $0.00 Strike: $17.26 $0.00
Disclosure

SEC source: 0001127602-16-068624 · form4.xml · derivative · entry 6

BOHN WILLIAM M · CIK 0001192634 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock $0.01 Par Value · 5,000 shares

Expires 2019-01-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: 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.

Read SEC document
November 28, 2016 Filed Nov 30, 2016 16:49 UTC
BOHN WILLIAM MExecutive Vice President
SaleCommon Stock $0.01 Par Value 2,500 $22.55 $56,375.00
Disclosure

SEC source: 0001127602-16-068624 · form4.xml · nonDerivative · entry 3

BOHN WILLIAM M · CIK 0001192634 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,864.957

Read SEC document
November 28, 2016 Filed Nov 30, 2016 16:49 UTC
BOHN WILLIAM MExecutive Vice President
SaleCommon Stock $0.01 Par Value 2,500 $22.51 $56,262.50
Disclosure

SEC source: 0001127602-16-068624 · form4.xml · nonDerivative · entry 2

BOHN WILLIAM M · CIK 0001192634 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,364.957

Read SEC document
November 28, 2016 Filed Nov 30, 2016 16:49 UTC
BOHN WILLIAM MExecutive Vice President
Exercise / conversionCommon Stock $0.01 Par Value 5,000 $17.26 $86,300.00
Disclosure

SEC source: 0001127602-16-068624 · form4.xml · nonDerivative · entry 1

BOHN WILLIAM M · CIK 0001192634 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,864.957

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 15, 2016 Filed Nov 16, 2016 19:41 UTC
Piotrowski Christopher C.Executive Vice President
OtherCommon Stock $0.01 Par Value 112.264 $22.86 $2,566.69
Disclosure

SEC source: 0001127602-16-067382 · form4.xml · nonDerivative · entry 1

Piotrowski Christopher C. · CIK 0001628326 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,395.395

F1 · kind: Shares were purchased within the Issuer's Employee Stock Purchase Plan.

Read SEC document
November 15, 2016 Filed Nov 16, 2016 19:40 UTC
PAYNE JAMES SPENCER JR.Executive Vice President
OtherCommon Stock $0.01 Par Value 12.028 $22.86 $275.00
Disclosure

SEC source: 0001127602-16-067381 · form4.xml · nonDerivative · entry 1

PAYNE JAMES SPENCER JR. · CIK 0001688607 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,306.152

F1 · kind: Shares were purchased within the Issuer's Employee Stock Purchase Plan.

Read SEC document
November 15, 2016 Filed Nov 16, 2016 19:38 UTC
Del Moral-Niles ChristopherChief Financial Officer
OtherCommon Stock $0.01 Par Value 96.827 $22.86 $2,213.76
Disclosure

SEC source: 0001127602-16-067379 · form4.xml · nonDerivative · entry 1

Del Moral-Niles Christopher · CIK 0001526943 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,147.738

F1 · kind: Shares were purchased within the Issuer's Employee Stock Purchase Plan.

Read SEC document
November 15, 2016 Filed Nov 16, 2016 19:32 UTC
Docter Judith MExecutive Vice President
OtherCommon Stock $0.01 Par Value 9.881 $22.86 $225.91
Disclosure

SEC source: 0001127602-16-067374 · form4.xml · nonDerivative · entry 6

Docter Judith M · CIK 0001344171 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,292.639

F1 · kind: Shares were purchased within the Issuer's Employee Stock Purchase Plan.

Read SEC document
November 14, 2016 Filed Nov 16, 2016 19:42 UTC
Yee JamesExecutive Vice President
Exercise / conversionNon-qualified Stock Option (Right to Buy) · Derivative 14,846 $0.00 Strike: $17.02 $0.00
Disclosure

SEC source: 0001127602-16-067383 · form4.xml · derivative · entry 5

Yee James · CIK 0001323990 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,846

Underlying: Common Stock $0.01 Par Value · 14,846 shares

Expires 2024-01-27

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Options vest in annual increments over 4 years. 25% will vest on each anniversary after the grant date.

Read SEC document
November 14, 2016 Filed Nov 16, 2016 19:42 UTC
Yee JamesExecutive Vice President
SaleCommon Stock $0.01 Par Value 2,719 $23.45 $63,760.55
Disclosure

SEC source: 0001127602-16-067383 · form4.xml · nonDerivative · entry 4

Yee James · CIK 0001323990 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,035

Read SEC document
November 14, 2016 Filed Nov 16, 2016 19:42 UTC
Yee JamesExecutive Vice President
SaleCommon Stock $0.01 Par Value 3,568 $23.40 $83,491.20
Disclosure

SEC source: 0001127602-16-067383 · form4.xml · nonDerivative · entry 3

Yee James · CIK 0001323990 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,754

Read SEC document
November 14, 2016 Filed Nov 16, 2016 19:42 UTC
Yee JamesExecutive Vice President
SaleCommon Stock $0.01 Par Value 8,559 $23.35 $199,852.65
Disclosure

SEC source: 0001127602-16-067383 · form4.xml · nonDerivative · entry 2

Yee James · CIK 0001323990 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,322

Read SEC document
November 14, 2016 Filed Nov 16, 2016 19:42 UTC
Yee JamesExecutive Vice President
Exercise / conversionCommon Stock $0.01 Par Value 14,846 $17.02 $252,678.92
Disclosure

SEC source: 0001127602-16-067383 · form4.xml · nonDerivative · entry 1

Yee James · CIK 0001323990 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,881

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 14, 2016 Filed Nov 16, 2016 19:37 UTC
Lau Timothy JExecutive Vice President
Exercise / conversionNon-qualified Stock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $14.02 $0.00
Disclosure

SEC source: 0001127602-16-067377 · form4.xml · derivative · entry 7

Lau Timothy J · CIK 0001507137 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,926

Underlying: Common Stock $0.01 Par Value · 10,000 shares

Expires 2023-01-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: 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.

Read SEC document
November 14, 2016 Filed Nov 16, 2016 19:37 UTC
Lau Timothy JExecutive Vice President
SaleCommon Stock $0.01 Par Value 100 $23.18 $2,317.50
Disclosure

SEC source: 0001127602-16-067377 · form4.xml · nonDerivative · entry 5

Lau Timothy J · CIK 0001507137 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,276.355

Read SEC document
November 14, 2016 Filed Nov 16, 2016 19:37 UTC
Lau Timothy JExecutive Vice President
SaleCommon Stock $0.01 Par Value 2,403 $23.15 $55,629.45
Disclosure

SEC source: 0001127602-16-067377 · form4.xml · nonDerivative · entry 4

Lau Timothy J · CIK 0001507137 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,376.355

Read SEC document
November 14, 2016 Filed Nov 16, 2016 19:37 UTC
Lau Timothy JExecutive Vice President
SaleCommon Stock $0.01 Par Value 3,696 $23.11 $85,396.08
Disclosure

SEC source: 0001127602-16-067377 · form4.xml · nonDerivative · entry 3

Lau Timothy J · CIK 0001507137 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,779.355

Read SEC document
November 14, 2016 Filed Nov 16, 2016 19:37 UTC
Lau Timothy JExecutive Vice President
SaleCommon Stock $0.01 Par Value 3,801 $23.10 $87,803.10
Disclosure

SEC source: 0001127602-16-067377 · form4.xml · nonDerivative · entry 2

Lau Timothy J · CIK 0001507137 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,475.355

Read SEC document
November 14, 2016 Filed Nov 16, 2016 19:37 UTC
Lau Timothy JExecutive Vice President
Exercise / conversionCommon Stock $0.01 Par Value 10,000 $14.02 $140,200.00
Disclosure

SEC source: 0001127602-16-067377 · form4.xml · nonDerivative · entry 1

Lau Timothy J · CIK 0001507137 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,276.355

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 14, 2016 Filed Nov 16, 2016 19:35 UTC
Hickey ScottChief Credit Officer
Exercise / conversionNon-qualified Stock Option (Right to Buy) · Derivative 18,837 $0.00 Strike: $12.97 $0.00
Disclosure

SEC source: 0001127602-16-067376 · form4.xml · derivative · entry 31

Hickey Scott · CIK 0001448684 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,837

Underlying: Common Stock $0.01 Par Value · 18,837 shares

Expires 2022-01-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Options vest 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.

Read SEC document
November 14, 2016 Filed Nov 16, 2016 19:35 UTC
Hickey ScottChief Credit Officer
Exercise / conversionNon-qualified Stock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $17.26 $0.00
Disclosure

SEC source: 0001127602-16-067376 · form4.xml · derivative · entry 30

Hickey Scott · CIK 0001448684 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock $0.01 Par Value · 30,000 shares

Expires 2019-01-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Options vest 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.

Read SEC document
November 14, 2016 Filed Nov 16, 2016 19:35 UTC
Hickey ScottChief Credit Officer
Exercise / conversionNon-qualified Stock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $19.50 $0.00
Disclosure

SEC source: 0001127602-16-067376 · form4.xml · derivative · entry 29

Hickey Scott · CIK 0001448684 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock $0.01 Par Value · 20,000 shares

Expires 2018-10-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Options vest 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.

Read SEC document
November 14, 2016 Filed Nov 16, 2016 19:35 UTC
Hickey ScottChief Credit Officer
SaleCommon Stock $0.01 Par Value 100 $22.85 $2,285.00
Disclosure

SEC source: 0001127602-16-067376 · form4.xml · nonDerivative · entry 27

Hickey Scott · CIK 0001448684 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,341

Read SEC document
November 14, 2016 Filed Nov 16, 2016 19:35 UTC
Hickey ScottChief Credit Officer
SaleCommon Stock $0.01 Par Value 400 $22.83 $9,130.00
Disclosure

SEC source: 0001127602-16-067376 · form4.xml · nonDerivative · entry 26

Hickey Scott · CIK 0001448684 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,441

Read SEC document
November 14, 2016 Filed Nov 16, 2016 19:35 UTC
Hickey ScottChief Credit Officer
SaleCommon Stock $0.01 Par Value 2,537 $22.80 $57,843.60
Disclosure

SEC source: 0001127602-16-067376 · form4.xml · nonDerivative · entry 25

Hickey Scott · CIK 0001448684 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,841

Read SEC document
November 14, 2016 Filed Nov 16, 2016 19:35 UTC
Hickey ScottChief Credit Officer
SaleCommon Stock $0.01 Par Value 1,800 $22.78 $40,995.00
Disclosure

SEC source: 0001127602-16-067376 · form4.xml · nonDerivative · entry 24

Hickey Scott · CIK 0001448684 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,378

Read SEC document
November 14, 2016 Filed Nov 16, 2016 19:35 UTC
Hickey ScottChief Credit Officer
SaleCommon Stock $0.01 Par Value 3,500 $22.75 $79,625.00
Disclosure

SEC source: 0001127602-16-067376 · form4.xml · nonDerivative · entry 23

Hickey Scott · CIK 0001448684 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,178

Read SEC document
November 14, 2016 Filed Nov 16, 2016 19:35 UTC
Hickey ScottChief Credit Officer
SaleCommon Stock $0.01 Par Value 4,100 $22.73 $93,172.50
Disclosure

SEC source: 0001127602-16-067376 · form4.xml · nonDerivative · entry 22

Hickey Scott · CIK 0001448684 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,678

Read SEC document
November 14, 2016 Filed Nov 16, 2016 19:35 UTC
Hickey ScottChief Credit Officer
SaleCommon Stock $0.01 Par Value 5,400 $22.70 $122,580.00
Disclosure

SEC source: 0001127602-16-067376 · form4.xml · nonDerivative · entry 21

Hickey Scott · CIK 0001448684 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,778

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.