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)

May 12, 2014

 

Associated Banc-Corp

(Exact name of registrant as specified in its charter)

 

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))



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Item 8.01.  Other Events. 

 

Associated Bank, N.A. (the “Bank”), the wholly-owned subsidiary of Associated Banc-Corp (the “Company”), was informed by the Office of the Comptroller of the Currency (“OCC”) that it will assess a civil money penalty in the amount of $500,000.  This civil money penalty relates to the Bank’s Bank Secrecy Act/Anti-Money Laundering deficiencies identified in the OCC’s Consent Order dated February 23, 2012.  The OCC lifted the Consent Order in March, 2014.  The Company believes that there will be no additional civil money penalties imposed on the Bank related to the deficiencies identified in the Consent Order.


 

FORWARD LOOKING STATEMENTS

Statements made in this document which are not purely historical are forward-looking statements, as defined in the Private Securities Litigation Reform Act of 1995. This includes any statements regarding management’s plans, objectives, or goals for future operations, products or services, and forecasts of its revenues, earnings or other measures of performance. Such forward-looking statements may be identified by the use of words such as “believe”, “expect”, “anticipate”, “plan”, “estimate”, “should”, “will”, “intend”, “outlook”, or similar expressions. Forward-looking statements are based on current management expectations and, by their nature, are subject to risks and uncertainties. Actual results may differ materially from those contained in the forward-looking statements. Factors which may cause actual results to differ materially from those contained in such forward-looking statements include those identified in the Company’s most recent Form 10-K and subsequent SEC filings. Such factors are incorporated herein by reference.

 

 




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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

 

 

 

 

Date:  May 12, 2014

By:   /s/ Randall J. Erickson

 

Randall J. Erickson

 

Executive Vice President, General Counsel

and Corporate Secretary

 

 

 

 

 

 

 

 

 

 

 

 



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