SEC Form 4 · accession 0001498301-15-000044
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
Sep 16, 2015
Accepted (ET)
Sep 18, 2015 · 10:55 am 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 | holding | — | — | — | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | $0.00 | Sep 16, 2015 | A | 94,170 | A | — | — | Common | 94,170 | 94,170 | D |
| Option To BuyF1,F3 | $12.39 | Sep 16, 2015 | A | 299,288 | A | Sep 16, 2016 | Sep 16, 2022 | Common | 299,288 | 299,288 | D |
Explanation of responses
- F1Granted under the Company's 2010 Stock Incentive Plan.
- F2On September 16, 2015, the reporting person was granted 94,170 restricted stock units, vesting in three equal installments beginning on the first anniversary of the grant date.
- F3Vests in three equal installments with the first vesting on the date indicated.