UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 | |
| FORM | 8-K |
| CURRENT REPORT | |
| Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 | |
| Date of Report (Date of earliest event reported) | November 12, 2019 |
| Associated Banc-Corp |
| (Exact name of registrant as specified in its chapter) |
| Wisconsin | 001-31343 | 39-1098068 |
(State or other jurisdiction of incorporation) | (Commission File Number) | (IRS Employer Identification No.) |
| 433 Main Street | Green Bay | Wisconsin | 54301 |
| (Address of principal executive offices) | (Zip code) | ||
| Registrant’s telephone number, including area code | 920 | 491-7500 |
| (Former name or former address, if changed since last report) | |
| Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): | |
| ☐ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ☐ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ☐ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ☐ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities Registered Pursuant to Section 12(b) of the act:
| Title of each class | Trading symbol | Name of each exchange on which registered |
| Common stock, par value $0.01 per share | ASB | New York Stock Exchange |
| Depositary Shrs, each representing 1/40th intrst in a shr of 6.125% Non-Cum. Perp Pref Stock, Srs C | ASB PrC | New York Stock Exchange |
| Depositary Shrs, each representing 1/40th intrst in a shr of 5.375% Non-Cum. Perp Pref Stock, Srs D | ASB PrD | New York Stock Exchange |
| Depositary Shrs, each representing 1/40th intrst in a shr of 5.875% Non-Cum. Perp Pref Stock, Srs E | ASB PrE | New York Stock Exchange |
| Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). | |
| ☐ | Emerging growth company |
| ☐ | If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. |
Item 8.01 Other Events. On November 12, 2019, Philip B. Flynn, President and Chief Executive Officer of Associated Banc-Corp (the “Company”), terminated the Rule 10b5-1 trading plan he had entered into on May 2, 2018. The plan provided for the sale of shares of the Company’s common stock and was scheduled to end on July 1, 2020. Transactions under the Rule 10b5-1 plan were disclosed publicly through Form 144 and Form 4 filings with the Securities and Exchange Commission. Except as may be required by law, the Company has not undertaken to report on specific Rule 10b5-1 pre-planned stock trading plans of Company officers, nor to report modifications or limitations of the aforementioned 10b5-1 plan or the plan of any other individual. |
| SIGNATURES | ||
| Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. | ||
| Associated Banc-Corp | ||
| (Registrant) | ||
| Date: November 12, 2019 | /s/ Randall J. Erickson | |
| Randall J. Erickson | ||
| Executive Vice President, General Counsel and Corporate Secretary | ||