SEC Form 4 · accession 0001498301-15-000021
Ascena Retail Group, Inc. · ASNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John E Pershing
Officer — EVP, Human Resources
Period of report
Mar 9, 2015
Accepted (ET)
Mar 11, 2015 · 3:41 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001498301
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common | Mar 9, 2015 | M | 1,250 | $0.00 | A | 1,250 | D | |
| CommonF1 | Mar 11, 2015 | S | 392 | $13.6532 | D | 858 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Resticted Stock UnitsF2,F4,F3 | $0.00 | Mar 9, 2015 | M | 1,250 | D | — | — | Common | 1,250 | 0 | D |
| Option To Buy | $20.79 | holding | — | — | — | Sep 20, 2013 | Sep 20, 2022 | Common | 25,000 | 25,000 | D |
| Option To Buy | $19.91 | holding | — | — | — | Sep 25, 2014 | Sep 25, 2020 | Common | 25,000 | 25,000 | D |
| Opiotn To Buy | $14.12 | holding | — | — | — | Sep 23, 2015 | Sep 23, 2021 | Common | 25,000 | 25,000 | D |
| Option To Buy | $13.135 | holding | — | — | — | Sep 21, 2012 | Sep 21, 2021 | Common | 20,000 | 20,000 | D |
| Option To Buy | $15.545 | holding | — | — | — | Mar 9, 2012 | Mar 9, 2021 | Common | 12,500 | 12,500 | D |
| Restricted Stock UnitsF2,F5 | $0.00 | holding | — | — | — | — | — | Common | 56,000 | 56,000 | D |
| Restricted Stock UnitsF2,F6 | $0.00 | holding | — | — | — | — | — | Common | 6,000 | 6,000 | D |
Explanation of responses
- F1Shares sold to pay taxes due upon vesting of restricted stock.
- F2Resticted stock units issued under the Company's 2010 Stock Incentive Plan.
- F3On March 9, 2011, the reporting person was granted 5,000 restricted stock units, vesting in four equal annual installments beginning on the first anniversary of the grant date.
- F4Each restricted stock unit ("RSU") represents a contingent right to receive one share of Ascena common stock.
- F5On January 27, 2012, the reporting person was granted 80,000 restricted stock units, vesting as follows: 8,000 shares on the first, second and third anniversary of the grant date, 12,000 shares on the fourth anniversary of the grant date, 16,000 shares on the fifth anniversary of the grant date, and 28,000 shares on the sixth anniversary date of the grant.
- F6On March 4, 2015, the reporting person was granted 6,000 restricted stock units, vesting in two equal installments on October 15, 2015 and October 15, 2016..