-----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, SCUAdz2sNpvWefAi28HTzyq/oCsZuojg1iBxmsc6QJ3zgrpYVGI+7vKTThLZA8tz StJAg+Lp8267sGsTea89qQ== 0000897069-05-002442.txt : 20051005 0000897069-05-002442.hdr.sgml : 20051005 20051005170233 ACCESSION NUMBER: 0000897069-05-002442 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20051003 FILED AS OF DATE: 20051005 DATE AS OF CHANGE: 20051005 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: STATE FINANCIAL SERVICES CORP CENTRAL INDEX KEY: 0000745614 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 391489983 STATE OF INCORPORATION: WI FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 10708 W JANESVILLE RD CITY: HALES CORNERS STATE: WI ZIP: 53130 BUSINESS PHONE: 4144251600 MAIL ADDRESS: STREET 1: 10708 W. JANESVILLE ROAD CITY: HALES CORNERS STATE: WI ZIP: 53130 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FALBO MICHAEL J CENTRAL INDEX KEY: 0001250145 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-18166 FILM NUMBER: 051125508 BUSINESS ADDRESS: STREET 1: STATE FINANCIAL SERVICES CORP. STREET 2: 10708 WEST JANESVILLE RD. CITY: HALES CORNERS STATE: WI ZIP: 53130 4 1 fal13.xml X0202 4 2005-10-03 1 0000745614 STATE FINANCIAL SERVICES CORP SFSW 0001250145 FALBO MICHAEL J 815 NORTH WATER STREET MILWAUKEE WI 53202 1 1 0 0 Chairman of the Board & CEO Common Stock 2005-10-03 4 D 0 74547 D 0.000 D Common Stock 2005-10-03 4 D 0 21875.346 D 0.000 I 401(k) Savings Plan Common Stock 2005-10-03 4 D 0 12.034 D 0.000 I Dividend Reinvestment Plan Common Stock 2005-10-03 4 D 0 20478.064 D 0.000 I Employee Stock Ownership Plan Common Stock 2005-10-03 4 D 0 206 D 0.000 I Jessica Falbo Common Stock 2005-10-03 4 D 0 206 D 0.000 I Stacee Falbo Stock Option (right to buy) 10.125 2005-10-03 4 D 0 10887 D 2001-01-31 2006-01-31 Common Stock 10887.0 0.0 D Stock Option (right to buy) 13.000 2005-10-03 4 D 0 8708 D 2002-02-28 2007-02-28 Common Stock 8708.0 0.0 D Stock Option (right to buy) 13.000 2005-10-03 4 D 0 17942 D 2002-02-28 2007-08-28 Common Stock 17942.0 0.0 D Stock Option (right to buy) 10.125 2005-10-03 4 D 0 12702 D 2001-01-31 2008-01-31 Common Stock 12702.0 0.0 D Stock Option (right to buy) 10.125 2005-10-03 4 D 0 9072 D 2001-01-31 2011-01-31 Common Stock 9072.0 0.0 D Stock Option (right to buy) 13.000 2005-10-03 4 D 0 10250 D 2002-02-28 2012-02-28 Common Stock 10250.0 0.0 D Stock Option (right to buy) 18.690 2005-10-03 4 D 0 41000 D 2013-01-31 Common Stock 41000.0 0.0 D Stock Option (right to buy) 27.000 2005-10-03 4 D 0 43770 D 2014-02-03 Common Stock 43770.0 0.0 D Stock Option (right to buy) 29.719 2005-10-03 4 D 0 59030 D 2015-01-31 Common Stock 59030.0 0.0 D Disposed of pursuant to a merger agreement between issuer and Associated Banc-Corp. Each share of common stock was exchanged for 1.2 shares of Associated common stock having a market value of $31.42 per share on the effective date of the merger. This option was canceled in the merger pursuant to a cash conversion whereby each share of common stock of the option was converted into the right to receive cash in an amount equal to the product of (i) the number of shares of issuer's common stock subject to the option multiplied by (ii) the amount by which $37.4304 exceeds the exercise price of the option. The option originally granted vested and became exercisable as follows: 25% after 1st anniversary of the date of grant, 50% after 2nd anniversary, and 100% after 3rd anniversary of the date of grant. By: Daniel L. Westrope, Attorney-In-Fact 2005-10-03 -----END PRIVACY-ENHANCED MESSAGE-----