-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, CuJfkOMlHgU3f059jGVT8AIYoVst4XbT8SoGgxKAClDZacw61bB50mI2Tu4wjU9m TKUb9WQqsxw/sZvx43IL9A== 0000007789-97-000006.txt : 19970221 0000007789-97-000006.hdr.sgml : 19970221 ACCESSION NUMBER: 0000007789-97-000006 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970211 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ASSOCIATED BANC-CORP CENTRAL INDEX KEY: 0000007789 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 391098068 STATE OF INCORPORATION: WI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-08723 FILM NUMBER: 97524715 BUSINESS ADDRESS: STREET 1: 112 NORTH ADAMS ST STREET 2: P O BOX 13307 CITY: GREEN BAY STATE: WI ZIP: 54301 BUSINESS PHONE: 4144333166 MAIL ADDRESS: STREET 1: 112 NORTH ADAMS STREET STREET 2: P O BOX 13307 CITY: GREEN BAY STATE: WI ZIP: 54307-3307 FORMER COMPANY: FORMER CONFORMED NAME: ASSOCIATED BANK SERVICES INC DATE OF NAME CHANGE: 19770626 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ASSOCIATED BANC-CORP CENTRAL INDEX KEY: 0000007789 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 391098068 STATE OF INCORPORATION: WI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 112 NORTH ADAMS ST STREET 2: P O BOX 13307 CITY: GREEN BAY STATE: WI ZIP: 54301 BUSINESS PHONE: 4144333166 MAIL ADDRESS: STREET 1: 112 NORTH ADAMS STREET STREET 2: P O BOX 13307 CITY: GREEN BAY STATE: WI ZIP: 54307-3307 FORMER COMPANY: FORMER CONFORMED NAME: ASSOCIATED BANK SERVICES INC DATE OF NAME CHANGE: 19770626 SC 13G 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.19)* Associated Banc-Corp -------------------- (Name of Issuer) Common Stock, Par Value $0.01 ----------------------------- (Title of Class of Securities) 045487-10-5 -------------- (CUSIP Number) Check the following box if a fee is being paid with this statement ____. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on the following pages) CUSIP No. 045487-10-5 13-G - ------------------------------------------------------------------------------- 1 Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Associated Banc-Corp Associated Bank Green Bay, National Association Associated Bank, National Association Associated Bank Lakeshore, National Association Associated Trust Company, Inc. - ------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group* (a) ----- (b) ----- - ----------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------ 4 Citizenship or Place of Organization Associated Banc-Corp--Wisconsin Corporation Associated Bank Green Bay, National Association-Federally Chartered Bank Associated Bank, National Association--Federally Chartered Bank Associated Bank Lakeshore, National Association--Federally Chartered Bank Associated Trust Company, Inc.--State Chartered Bank - ------------------------------------------------------------------------------- Number of Shares Beneficially Owned by Each Reporting Person With 5 Sole Voting Power Associated Banc-Corp None Associated Bank Green Bay, National Association 871,833 Associated Bank, National Association 8,061 Associated Bank Lakeshore, National Association 2,419 Associated Trust Company, Inc. 100,409 - ------------------------------------------------------------------------------- 6 Shared Voting Power Associated Banc-Corp None Associated Bank Green Bay, National Association 21,610 Associated Bank, National Association None Associated Bank Lakeshore, National Association None Associated Trust Company, Inc. None - ------------------------------------------------------------------------------- 7 Sole Dispositive Power Associated Banc-Corp None Associated Bank Green Bay, National Association 1,058,924 Associated Bank, National Association 418,348 Associated Bank Lakeshore, National Association 192,565 Associated Trust Company, Inc. 105,175 - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 045487-10-5 13-G - ------------------------------------------------------------------------------- 8 Shared Dispositive Power Associated Banc-Corp None Associated Bank Green Bay, National Association 72,024 Associated Bank, National Association 104,322 Associated Bank Lakeshore, National Association 1,361 Associated Trust Company, Inc. 12,423 - ------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person Associated Banc-Corp 1,965,142 Associated Bank Green Bay, National Association 1,130,948 Associated Bank, National Association 522,670 Associated Bank Lakeshore, National Association 193,926 Associated Trust Company, Inc. 117,598 - ------------------------------------------------------------------------------- 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 Associated Banc-Corp 10.7% Associated Bank Green Bay, National Association 6.2% Associated Bank, National Association 2.9% Associated Bank Lakeshore, National Association 1.1% Associated Trust Company, Inc. .64% - ------------------------------------------------------------------------------- 12 Type of Reporting Person* Associated Banc-Corp HC Associated Bank Green Bay, National Association BK Associated Bank, National Association BK Associated Bank Lakeshore, National Association BK Associated Trust Company, Inc. BK - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 045487-10-5 13-G - ------------------------------------------------------------------------------- 1 Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Associated Banc-Corp - ------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group* (a) ----- (b) X ----- - ------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------- 4 Citizenship or Place of Organization Associated Banc-Corp--Wisconsin Corporation - ------------------------------------------------------------------------------- Number of Shares Beneficially Owned by Each Reporting Person With 5 Sole Voting Power None - ------------------------------------------------------------------------------- 6 Shared Voting Power None - ------------------------------------------------------------------------------- 7 Sole Dispositive Power None - ------------------------------------------------------------------------------- 8 Shared Dispositive Power None - ------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person Associated Banc-Corp 1,965,142 - ------------------------------------------------------------------------------- 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 Associated Banc-Corp 10.7% - ------------------------------------------------------------------------------- 12 Type of Reporting Person* Associated Banc-Corp HC - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 045487-10-5 13-G - ------------------------------------------------------------------------------- 1 Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Associated Bank Green Bay, National Association - ------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group* (a) ----- (b) X ----- - ------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------- 4 Citizenship or Place of Organization Associated Bank Green Bay, National Association--Federally Chartered Bank - ------------------------------------------------------------------------------- Number of Shares Beneficially Owned by Each Reporting Person With 5 Sole Voting Power 871,833 - ------------------------------------------------------------------------------- 6 Shared Voting Power 21,610 - ------------------------------------------------------------------------------- 7 Sole Dispositive Power 1,058,924 - ------------------------------------------------------------------------------- 8 Shared Dispositive Power 72,024 - ------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person Associated Bank Green Bay, National Association 1,130,948 - ------------------------------------------------------------------------------- 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 Associated Bank Green Bay, National Association 6.2% - ------------------------------------------------------------------------------- 12 Type of Reporting Person* Associated Bank Green Bay, National Association BK - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 045487-10-5 13-G - ------------------------------------------------------------------------------- 1 Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Associated Bank, National Association - ------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group* (a) ----- (b) X ----- - ------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------- 4 Citizenship or Place of Organization Associated Bank, National Association--Federally Chartered Bank - ------------------------------------------------------------------------------- Number of Shares Beneficially Owned by Each Reporting Person With 5 Sole Voting Power 8,061 - ------------------------------------------------------------------------------- 6 Shared Voting Power 0 - ------------------------------------------------------------------------------- 7 Sole Dispositive Power 418,348 - ------------------------------------------------------------------------------- 8 Shared Dispositive Power 104,322 - ------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person Associated Bank, National Association 522,670 - ------------------------------------------------------------------------------- 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 Associated Bank, National Association 2.8% - ------------------------------------------------------------------------------- 12 Type of Reporting Person* Associated Bank, National Association BK - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 045487-10-5 13-G - ------------------------------------------------------------------------------- 1 Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Associated Bank Lakeshore, National Association - ------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group* (a) ----- (b) X ----- - ------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------- 4 Citizenship or Place of Organization Associated Bank Lakeshore, National Association--Federally Chartered Bank - ------------------------------------------------------------------------------- Number of Shares Beneficially Owned by Each Reporting Person With 5 Sole Voting Power 2,419 - ------------------------------------------------------------------------------- 6 Shared Voting Power None - ------------------------------------------------------------------------------- 7 Sole Dispositive Power 192,565 - ------------------------------------------------------------------------------- 8 Shared Dispositive Power 1,361 - ------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person Associated Bank Lakeshore, National Association 193,926 - ------------------------------------------------------------------------------- 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 Associated Bank Lakeshore, National Association 1.1% - ------------------------------------------------------------------------------- 12 Type of Reporting Person* Associated Bank Lakeshore, National Association BK - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 045487-10-5 13-G - ------------------------------------------------------------------------------- 1 Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Associated Trust Company, Inc. - ------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group* (a) ----- (b) X ----- - ------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------- 4 Citizenship or Place of Organization Associated Trust Company, Inc.--State Chartered Bank - ------------------------------------------------------------------------------- Number of Shares Beneficially Owned by Each Reporting Person With 5 Sole Voting Power 100,409 - ------------------------------------------------------------------------------- 6 Shared Voting Power None - ------------------------------------------------------------------------------- 7 Sole Dispositive Power 105,175 - ------------------------------------------------------------------------------- 8 Shared Dispositive Power 12,423 - ------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person Associated Trust Company, Inc. 117,598 - ------------------------------------------------------------------------------- 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 Associated Trust Company, Inc. .64% - ------------------------------------------------------------------------------- 12 Type of Reporting Person* Associated Trust Company, Inc. BK - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Check the following box if a fee is being paid with this statement Item 1(a) Name of Issuer: Associated Banc-Corp Item 1(b) Address of Issuer's Principal 112 N. Adams St., P. O. Box 13307 Executive Offices: Green Bay, WI 54307-3307 Item 2(a) Name of Person(s) Filing: Associated Banc-Corp Associated Bank Green Bay, National Association Associated Bank, National Association Associated Bank Lakeshore, National Association Associated Trust Company, Inc. Item 2(b) Address of Principal Business 112 N. Adams Street Office: P. O. Box 13307 Green Bay, WI 54307-3307 Item 2(c) Citizenship: Associated Banc-Corp - Wisconsin Corporation Associated Bank Green Bay, National Association - Federally Chartered Bank Associated Bank, National Association - Federally Chartered Bank Associated Bank Lakeshore, National Association - Federally Chartered Bank Associated Trust Company, Inc. - State Chartered Bank Item 2(d) Title of Class of Securities: Common Stock, Par Value $0.01 Item 2(e) CUSIP Number: 045487-10-5 Item 3 If this statement is filed pursuant to Rules 13d-1(b) or 13d-2(b), check whether the person filing is a: (a)( ) Broker or dealer registered under Section 15 of the Act (b)(x ) Bank as defined in Section 3(a)(6) of the Act (c)( ) Insurance company as defined in Section 3(a)(19) of the Act (d)( ) Investment company registered under Section 8 of the Investment Company Act (e)( ) Investment adviser registered under Section 203 of the Investment Advisers Act of 1940 (f)( ) Employee benefit plan, pension fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Sec. 240.13d-1(b)(1)(ii)(F) (g)(x ) Parent holding company, in accordance with Sec. 240.13d-1(b)(ii)(G) (Note: See Item 7) (h)(x ) Group, in accordance with Sec. 240.13d-1(b)(1)(ii)(H) Item 4 Ownership (a) Amount Beneficially Owned: 1. Associated Banc-Corp 1,965,142 2. Associated Bank Green Bay, National Association 1,130,948 3. Associated Bank, National Association 522,670 4. Associated Bank Lakeshore, National Association 193,926 5. Associated Trust Company, Inc. 117,598 (b) Percent of Class: 1. Associated Banc-Corp 10.7% 2. Associated Bank Green Bay, National Association 6.2% 3. Associated Bank, National Association 2.8% 4. Associated Bank Lakeshore, National Association 1.1% 5. Associated Trust Company, Inc. .64% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 1. Associated Banc-Corp None 2. Associated Bank Green Bay, National Association 871,833 3. Associated Bank, National Association 8,061 4. Associated Bank Lakeshore, National Association 2,419 5. Associated Trust Company, Inc. 100,409 (ii) shared power to vote or to direct the vote: 1. Associated Banc-Corp None 2. Associated Bank Green Bay, National Association 21,610 3. Associated Bank, National Association None 4. Associated Bank Lakeshore, National Association None 5. Associated Trust Company, Inc. None (iii) sole power to dispose or to direct the disposition of: 1. Associated Banc-Corp None 2. Associated Bank Green Bay, National Association 1,058,924 3. Associated Bank, National Association 418,348 4. Associated Bank Lakeshore, National Association 192,565 5. Associated Trust Company, Inc. 105,175 (iv) shared power to dispose or to direct the disposition of: 1. Associated Banc-Corp None 2. Associated Bank Green Bay, National Association 72,024 3. Associated Bank, National Association 104,322 4. Associated Bank Lakeshore, National Association 1,361 5. Associated Trust Company, Inc. 12,423 Item 5 Ownership of Five Percent or Less of a Class Not applicable Item 6 Ownership of More than Five Percent on Behalf of Another Person Certain of the trusts administered by the constituent organizations share authority to make certain decisions, including those dealing with receipt of dividend or direction of receipt of dividends and receipt of or direction of receipt of sale proceeds. Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company The parent holding company owns all the shares of a number of constituent corporations including: (i) Associated Bank Green Bay, National Association (ii) Associated Bank, National Association (iii) Associated Bank Lakeshore, National Association (iv) Associated Trust Company, Inc. All of these institutions are banking institutions and three are subject to the supervision of the Comptroller of the Currency and one to the Wisconsin Department of Financial Institutions. Item 8 Identification and Classification of Members of the Group Schedule 13G is being filed by a group comprised of Associated Banc-Corp; Associated Bank Green Bay, National Association; Associated Bank, National Association; Associated Bank Lakeshore, National Association; and Associated Trust Company, Inc. Associated Banc-Corp is a parent holding company of banking institutions and Associated Bank Green Bay, National Association; Associated Bank, National Association; Associated Bank Lakeshore, National Association; and Associated Trust Company, Inc. are banking institutions. By signing Schedule 13G to which this is an exhibit, all institutions agree to file as a group and pursuant to Rule 13d-1(f)(1) as well; although they may not in fact constitute a group pursuant to Section 13d(3) of the Securities Exchange Act. Item 9 Notice of Dissolution of Group Not applicable. Item 10 Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. Item 11 Signature After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: February 11, 1997 ASSOCIATED BANK GREEN BAY, ASSOCIATED BANC-CORP: NATIONAL ASSOCIATION: By: /s/ Mark J. McMullen By: /s/ Brian R. Bodager ------------------------------------ ----------------------------------- Mark J. McMullen Brian R. Bodager Sr. Executive Vice President, Manager General Counsel and Corporate Secretary ASSOCIATED BANK, ASSOCIATED BANK LAKESHORE, NATIONAL ASSOCIATION: NATIONAL ASSOCIATION: By: /s/ Michael B. Mahlik By: /s/ William A. Pohlmann ----------------------------------- ----------------------------------- Michael B. Mahlik William A. Pohlmann Executive Vice President-Trust SVP-Managing Trust Officer ASSOCIATED TRUST COMPANY, INC.: By: /s/ Michael B. Mahlik ----------------------------------- Michael B. Mahlik Vice President The submission of this Schedule 13G shall not be deemed an admission that the person(s) filing this form are the beneficial owners of the securities reported on herein or are required to so report pursuant to Section 13(d) of the Securities Exchange Act of 1934 as amended. -----END PRIVACY-ENHANCED MESSAGE-----