SEC Form 4 · accession 0001498301-15-000071
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
Sep 29, 2015
Accepted (ET)
Oct 1, 2015 · 4:16 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 | holding | — | — | — | 858 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option To BuyF1,F2 | $13.48 | Sep 29, 2015 | A | 22,617 | A | Sep 29, 2016 | Sep 29, 2022 | Common | 22,617 | 22,617 | D |
| Resticted Stock UnitsF3,F4,F5 | $0.00 | Sep 29, 2015 | A | 7,656 | A | — | — | Common | 7,656 | 7,656 | D |
Explanation of responses
- F1Granted under the Company's 2010 Stock Incentive Plan.
- F2Vests in three equal installments with the first vesting on the date indicated.
- F3Resticted stock units issued under the Company's 2010 Stock Incentive Plan.
- F4Each restricted stock unit ("RSU") represents a contingent right to receive one share of Ascena common stock.
- F5On September 29, 2015, the reporting person was granted 7,656 restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date.