SEC Form 4 · accession 0001498301-15-000030
Ascena Retail Group, Inc. · ASNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David R Jaffe
Officer — President & CEO · Director
Period of report
Aug 28, 2015
Accepted (ET)
Sep 1, 2015 · 2:52 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 | Aug 28, 2015 | M | 600,000 | $5.92 | A | 11,563,226 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Opton To BuyF1,F2 | $5.92 | Aug 28, 2015 | M | 600,000 | D | Oct 12, 2006 | Oct 12, 2015 | Common | 600,000 | 0 | D |
Explanation of responses
- F1Granted under the Company's 2001 Stock OptionPlan.
- F2Exercisable in five equal annual installments with the first installment on the date indicated.