SEC Form 4 · accession 0001498301-15-000055
Ascena Retail Group, Inc. · ASNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Elliot S Jaffe
Officer — Chairman · Director
Period of report
Sep 23, 2015
Accepted (ET)
Sep 24, 2015 · 11:45 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 | Sep 23, 2015 | M | 1,667 | $0.00 | A | 1,061,118 | D | |
| CommonF1 | holding | — | — | — | 762,938 | I | See Footnote (1) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | $0.00 | Sep 23, 2015 | M | 1,667 | D | — | — | Common | 1,667 | 3,333 | D |
Explanation of responses
- F1Shares are held by Roslyn Jaffe, Mr. Jaffe's wife. Mr. Jaffe disclaims beneficial ownership of these shares.
- F2Granted under the Company's 2010 Incentive Stock Plan.
- F3On Septemnber 23, 2014 the reporting person was granted 5,000 restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date.