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FORM 5500 DATA

Associated Banc-Corp 401k & Employee Stock Ownership Plan

Overview

Plan Information

  • Plan Year01/01/2011 — 12/31/2011
  • Date of Plan01/01/1987
  • Net Assets as of 12/31/2011 $349,095,427
  • Plan Number2
  • Plan Type Single Employer
  • Is the plan collectively bargained? No
  • Did the plan file for an extension of time or the DFVC Program? No
  • Plan Funding ArrangementInsurance Trust
  • Plan Benefit ArrangementInsurance Trust

Participant Information as of 12/31/2011

  • Active (Eligible) Participants5,217
  • Retired or separated participants receiving benefits152
  • Other retired or separated participants entitled to future benefits1,194
  • Subtotal6,563
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits13
  • Total6,576
  • Total number of participants as of 01/01/20116,496
  • Number of participants with account balances5,346
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested0

Expenses

  • Total Benefit Payments$0
  • Corrective Distributions$0
  • Administrative Service Providers$0
  • Other Expenses$0
  • Total Expenses$0
  • Total Transfers$0

Sponsor Information

  • Address1200 Hansen Rd
  • CityGreen Bay
  • StateWI
  • Zip54304
  • Telephone(920) 405-2882
  • EIN39-1098068
  • Industry Code551111
  • Named AdministratorChristopher J. Del Moral-Niles
  • Named Plan SponsorChristopher J. Del Moral-Niles

Plan Administrator Information

  • Administrator NameAssociated Banc-Corp
  • Address1200 Hansen Rd
  • CityGreen Bay
  • StateWI
  • Zip54304
  • Telephone(920) 405-2882
  • Administrator EIN39-1098068

Audit Information

  • Audit StatusAudited
  • AuditorKpmg, LLP
  • Auditor EIN13-5565207
  • Audit OpinionUnqualified
  • Audit Type Full Audit

Benefits Provided Under the Plan

Code Benefit Description
2E Profit-sharing A defined contribution plan that allows employer discretionary contributions. These plans often contain a 401(k) feature.
2G Total participant-directed account plan Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
2J Code section 401(k) feature A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
2K Code section 401(m) arrangement Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contributions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
2O ESOP other than a leveraged ESOP An Employee Stock Ownership Plan (ESOP) is a type of employee benefit plan designed to invest primarily in employer stock.
2T Participant-directed Account Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.

Questions and Answers

Question Answer Amount
During the plan year did the employer fail to transmit to the plan any participant contributions within the time period described in 29 CFT 2510.3-102? No
Were any loans by the plan or fixed income obligations due the plan in default as of the close of plan year or classified during the year as uncollectible? Disregard participant loans secured by participant's account balance. No
Were any leases to which the plan was a party in default or classified during the year as uncollectible? No
Were there any nonexempt transactions with any party-in-interest? No
Was this plan covered by a fidelity bond? Yes $25,000,000
Did the plan have a loss, whether or not reimbursed by the plan's fidelity bond, that was caused by fraud or dishonesty? No
Did the plan hold any assets whose current value was neither readily determinable on an established market nor set by an independent third party appraiser? No
Did the plan receive any noncash contributions whose value was neither readily determinable on an established market nor set by an independent third party appraiser? No
Did the plan have assets held for investment? Yes
Were any plan transactions or series of transactions in excess of 5% of the current value of plan assets? No
Were all the plan assets either distributed to participants or beneficiaries, transferred to another plan, or brought under the control of the PBGC? No
Has the plan failed to provide any benefit when due under the plan? No
If this is an individual account plan, was there a blackout period? No
If there was a blackout period, have you either provided the required notice or one of the exceptions to providing the notice applied under 29 CFR 2520.101-3? No

Financials

Income and Expense Statement

Income $9,768,493
Contributions $29,962,621
Cash Contributions $29,962,621
Cash from Employers $8,901,812
Cash from Participants $17,605,657
Others (including rollovers) $3,455,152
Noncash Contributions $0
Total Earnings on Investments $-20,194,128
Total Interest $80,349
Interest-Bearing Cash $1
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $80,348
Interest from Other Investments $0
Total Dividends $2,407,570
Preferred Stock $0
Common Stock $135,311
Rents $0
Net gain (loss) on sale of assets $-6,892,851
Aggregate Proceeds $10,171,744
Aggregate Carrying Amount $17,064,595
Total Unrealized Appreciation (depreciation) of assets $-6,704,254
Real Estate $0
Other $-6,704,254
Net investment gain (loss) from common/collective trusts $-237,115
Net investment gain (loss) from pooled separate accounts $0
Net investment gain (loss) from master trust investment accounts $0
Net investment gain (loss) from 103-12 investment entities $0
Net investment gain (loss) from registered investment companies $-8,847,827
Other Income $0
Expenses $36,321,878
Total Benefit Payments $35,434,389
Directly to participants or beneficiaries, including direct rollovers $35,421,529
To insurance carriers for the provision of benefits $12,860
Other Benefit Payment Fees $0
Corrective Distributions $113,224
Certain deemed distributions of participant loans $0
Interest expense $0
Total Administrative Expenses $774,265
Professional Fees $0
Contract Administrator Fees $0
Investment Advisory and management fees $736,724
Other Administrative Fees $37,541
Net Income $-26,553,385
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

12/31/2011 12/31/2010 Change YOY
Total Assets $349,722,148 $376,093,539 -7.01%
Total noninterest-bearing cash $13,961 $0 0.0%
Receivables $9,534,377 $8,064,983 18.22%
Employer Contributions $8,901,812 $7,871,773 13.09%
Participant Contributions $0 $0 0.0%
Other Contributions $632,565 $193,210 227.40%
General Investments $4,324 $5,007 -13.64%
Interest-bearing cash $4,324 $5,007 -13.64%
U.S. Government Securities $0 $0 0.0%
Corporate Debt Instruments $0 $0 0.0%
Preferred $0 $0 0.0%
All Other $0 $0 0.0%
Corporate Stocks $0 $0 0.0%
Preferred $0 $0 0.0%
Common $0 $0 0.0%
Partnership/joint venture interests $0 $0 0.0%
Real estate (other than employer real property) $0 $0 0.0%
Loans (other than to participants) $0 $0 0.0%
Participants Loans $1,513,079 $1,449,115 4.41%
Value of interest in common/collective trusts $137,476,516 $143,644,023 -4.29%
Value of interest in pooled separate accounts $0 $0 0.0%
Value of interest in master trust investment accounts $0 $0 0.0%
Value of interest in 103-12 investment entities $0 $0 0.0%
Value of interest in registered investment companies $164,487,819 $170,336,569 -3.43%
Value of funds held in insurance co. general account $0 $0 0.0%
Other Investments $71,015 $137,725 -48.44%
Employer-related Investments $36,621,057 $52,456,117 -30.19%
Employer Securities $36,621,057 $52,456,117 -30.19%
Employer Real Property $0 $0 0.0%
Buildings and other property used in plan operation $0 $0 0.0%
Total Liabilities $626,721 $444,727 40.92%
Benefit Claims Payable (1) $0 $110,608 -100.00%
Operating Payables (1) $190,129 $215,179 -11.64%
Acquisition Indebtedness (1) $0 $0 0.0%
Other liabilities (1) $436,592 $118,940 267.07%
Net Assets $349,095,427 $375,648,812 -7.07%

Service Providers

Persons Receiving Only Eligible Indirect Compensation

There is no information on eligible indirect compensation for this plan.

Other Service Providers Receiving Direct or Indirect Compensation

Name Nature of Service Relationship to Plan Sponsor Direct Compensation Paid by Plan Indirect Compensation Paid by Plan Total Compensation
Associated Trust Company, N.A. Trustee (bank, trust company, or similar financial institution), Recordkeeping and information management (computing, tabulating, data processing, etc.), Recordkeeping fees, Participant loan processing, Direct payment from the plan, Participant communication Trustee $774,265 $0 $774,265
Total $774,265 $0 $774,265

Indirect Compensation

There are no service providers with indirect compensation listed for this plan.

Service Providers Who Fail or Refuse to Provide Information

There are no service providers who failed or refused to provide information.

Termination Information on Accountants and Enrolled Actuaries

There is no termination information for this plan.

Investments

Investments

Name of Investment Investment Manager Type of Investment Dollar Value
Associated Balanced Lifestage Fund Associated Trust Company, N.A. DFE: Common/Collective Trust $39,511,985
Associated Growth Lifestage Fund Associated Trust Company, N.A. DFE: Common/Collective Trust $36,823,572
Abc Common Stock Fund Associated Trust Company, N.A. DFE: Common/Collective Trust $36,621,057
Assoc. Intermediate Term Bond Fund Associated Trust Company, N.A. DFE: Common/Collective Trust $25,188,808
Assoc. Growth Balanced Lifestage Associated Trust Company, N.A. DFE: Common/Collective Trust $12,102,752
Assoc Conserv Balanced Lifestage Fd Associated Trust Comapany, N.A. DFE: Common/Collective Trust $7,620,866
Assoc. Common Stock Fund Associated Trust Company, N.A. DFE: Common/Collective Trust $6,770,239
Associated Short Term Bond Fund Associated Trust Company, N.A. DFE: Common/Collective Trust $5,029,861
Associated Equity Income Fund Associated Trust Company, N.A. DFE: Common/Collective Trust $4,428,432
Assoc. Intermediate Term Bond Fund Associated Trust Company, N.A. DFE: Common/Collective Trust $0
Total $174,097,572

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
The Guardian Life Insurance 7
EIN
Industry Code
Contract Number PL/PK688
Contract Year 01/01/2011 — 12/31/2011
Value in General Account at Year End $0
Value in Separate Accounts at Year End $0
Insurance Fees and Commissions $175
Persons Receiving Commissions and Fees
Agent/Broker Organization Code Commissions Paid Fees Paid Purpose of Fees Paid
Scot Madson 3091 Voyager Drive Green Bay, WI 54311 Insurance Agent or Broker $175 $0
Allocated Funds
Type of Contract Individual Policies
Basis of premium rates Supplied To Dol By Guardian Life In
Premiums paid to carrier $8,798
Premiums due but unpaid at the end of the year $0
If the carrier, service, or other organization incurred any specific costs in connection with the acquisition or retention of the contract or policy, enter amount $0
Specify the nature of the costs
Unallocated Funds
Type of Contract Unspecified
Balance at the end of the previous year $0
Additions $0
Contributions Deposited during the year $0
Dividends and credits $0
Interest credited during the year $0
Transferred from separate account $0
Other $0
Total of Balance and Additions $0
Deductions $0
Disbursed from fund to pay benefits or purchase annuities during the year $0
Administration charge made by carrier $0
Transferred to Separate Account $0
Other $0
Balance at the end of the current year $0
Penn Mutual Life 7
EIN 23-0952300
Industry Code 67644
Contract Number 8108
Contract Year 01/01/2011 — 12/31/2011
Value in General Account at Year End $0
Value in Separate Accounts at Year End $0
Insurance Fees and Commissions $16
Persons Receiving Commissions and Fees
Agent/Broker Organization Code Commissions Paid Fees Paid Purpose of Fees Paid
Scot J. Madson 3091 Voyager Drive Green Bay, WI 54311 Insurance Agent or Broker $16 $0
Allocated Funds
Type of Contract Individual Policies
Basis of premium rates Insurance Company Rate Books
Premiums paid to carrier $4,062
Premiums due but unpaid at the end of the year $0
If the carrier, service, or other organization incurred any specific costs in connection with the acquisition or retention of the contract or policy, enter amount $0
Specify the nature of the costs
Unallocated Funds
Type of Contract Unspecified
Balance at the end of the previous year $0
Additions $0
Contributions Deposited during the year $0
Dividends and credits $0
Interest credited during the year $0
Transferred from separate account $0
Other $0
Total of Balance and Additions $0
Deductions $0
Disbursed from fund to pay benefits or purchase annuities during the year $0
Administration charge made by carrier $0
Transferred to Separate Account $0
Other $0
Balance at the end of the current year $0
General American Life 1
EIN 43-0285930
Industry Code 63665
Contract Number 10732
Contract Year 01/01/2011 — 12/31/2011
Value in General Account at Year End $0
Value in Separate Accounts at Year End $0
Insurance Fees and Commissions $4
Persons Receiving Commissions and Fees
Agent/Broker Organization Code Commissions Paid Fees Paid Purpose of Fees Paid
Michael M Nicholson, CLU, ChFC 6515 Grand Teton Plz Madison, WI 53719 Insurance Agent or Broker $4 $0
Allocated Funds
Type of Contract Individual Policies
Basis of premium rates 1980 Cso Mortality Table 6% Interes
Premiums paid to carrier $0
Premiums due but unpaid at the end of the year $0
If the carrier, service, or other organization incurred any specific costs in connection with the acquisition or retention of the contract or policy, enter amount $0
Specify the nature of the costs
Unallocated Funds
Type of Contract Unspecified
Balance at the end of the previous year $0
Additions $0
Contributions Deposited during the year $0
Dividends and credits $0
Interest credited during the year $0
Transferred from separate account $0
Other $0
Total of Balance and Additions $0
Deductions $0
Disbursed from fund to pay benefits or purchase annuities during the year $0
Administration charge made by carrier $0
Transferred to Separate Account $0
Other $0
Balance at the end of the current year $0