ASSOCIATED BANC-CORP — Major Shareholding Notification 1997

Feb 12, 1997

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) First Oak Brook Bancshares, Inc. -------------------------------- (Name of Issuer) Class A Common Stock, Par Value $2.00 (Title of Class of Securities) 335847-20-8 ----------- (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. 335847-20-8 13G - ------------------------------------------------------------------------------- 1 Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Associated Banc-Corp 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 Banc-Corp - Wisconsin Corporation Associated Bank, National Association - Federally Chartered Bank - ------------------------------------------------------------------------------- Number of Shares Beneficially Owned by Each Reporting Person With 5 Sole Voting Power Associated Banc-Corp None Associated Bank, National Association 101,338 - ------------------------------------------------------------------------------- 6 Shared Voting Power Associated Banc-Corp None Associated Bank, National Association 2,812 - ------------------------------------------------------------------------------- 7 Sole Dispositive Power Associated Banc-Corp None Associated Bank, National Association 104,150 - ------------------------------------------------------------------------------- 8 Shared Dispositive Power Associated Banc-Corp None Associated Bank, National Association None - ------------------------------------------------------------------------------- SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 335847-20-8 13G - ------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person Associated Banc-Corp 104,150 Associated Bank, National Association 104,150 - ------------------------------------------------------------------------------- 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 5.6% Associated Bank, National Association 5.6% - ------------------------------------------------------------------------------- 12 Type of Reporting Person Associated Banc-Corp HC Associated Bank, National Association BK - ------------------------------------------------------------------------------- SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 335847-20-8 13G - ------------------------------------------------------------------------------- 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 104,150 - ------------------------------------------------------------------------------- 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 5.6% - ------------------------------------------------------------------------------- 12 Type of Reporting Person Associated Banc-Corp HC - ------------------------------------------------------------------------------- SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 335847-20-8 13G - ------------------------------------------------------------------------------- 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 101,338 - ------------------------------------------------------------------------------- 6 Shared Voting Power 2,812 - ------------------------------------------------------------------------------- 7 Sole Dispositive Power 104,150 - ------------------------------------------------------------------------------- 8 Shared Dispositive Power None - ------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person Associated Bank, National Association 104,150 - ------------------------------------------------------------------------------- 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 5.6% - ------------------------------------------------------------------------------- 12 Type of Reporting Person Associated Bank, National Association 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: First Oak Brook Bancshares, Inc. Item 1(b) Address of Issuer's Principal 1400 16th Street Executive Offices: Oak Brook, IL 60521 Item 2(a) Name of Person(s) Filing: Associated Banc-Corp Associated Bank, National Association Item 2(b) Address of Principal Business 112 North Adams Street Office: P. O. Box 13307 Green Bay, WI 54307-3307 Item 2(c) Citizenship: Associated Banc-Corp - Wisconsin Corporation Associated Bank, National Association - Federally Chartered Bank Item 2(d) Title of Class of Securities: Class A Common Stock, Par Value $2.00 Item 2(e) CUSIP Number: 335847-20-8 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 Bank, National Association 104,150 ------- 2. Associated Banc-Corp 104,150 (b) Percent of Class: 1. Associated Bank, National Association 5.6% --- 2. Associated Banc-Corp 5.6% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 1. Associated Bank, National Association 101,338 ------- 2. Associated Banc-Corp None (ii) shared power to vote or to direct the vote: 1. Associated Bank, National Association 2,812 ---- 2. Associated Banc-Corp None (iii) sole power to dispose or to direct the disposition of: 1. Associated Bank, National Association 104,150 ------- 2. Associated Banc-Corp None (iv) shared power to dispose or to direct the disposition of: 1. Associated Bank, National Association None ----- 2. Associated Banc-Corp None 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 Not applicable 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: Associated Bank, National Association This institution is a banking institution and is subject to the supervision of the Comptroller of the Currency. Item 8 Identification and Classification of Members of the Group Schedule 13G is being filed by a group comprised of Associated Banc- Corp and Associated Bank, National Association. Associated Banc-Corp is a parent holding company of banking institutions, and Associated Bank, National Association is a banking institution. By signing Schedule 13G, all institutions agree to file as a group and pursuant to Rule 13d-(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 12, 1997 ASSOCIATED BANK, ASSOCIATED BANC-CORP: NATIONAL ASSOCIATION: By: /s/ Michael B. Mahlik By: /s/ Brian R. Bodager ----------------------------------- ---------------------------------- Michael B. Mahlik Brian R. Bodager Executive Vice President-Trust General Counsel & Corporate Secretary 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.