SEC Form 4 · accession 0001498301-15-000072
Ascena Retail Group, Inc. · ASNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ernest R LaPorte
Officer — SVP & CAO
Period of report
Sep 29, 2015
Accepted (ET)
Oct 1, 2015 · 4:25 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001498301
Table I — non-derivative securities
No Table I lines on this filing.
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 | 10,896 | A | Sep 29, 2016 | Sep 29, 2022 | Common | 10,896 | 10,896 | D |
| Restricted Share UnitsF3,F4,F5 | $0.00 | Sep 29, 2015 | A | 3,689 | A | — | — | Common | 3,689 | 3,689 | D |
Explanation of responses
- F1Granted under the Company's 2010 Stock Incentive Plan.
- F2Vests in three equal annual installments with the first installment on the date indicated.
- F3Restricted share 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 Septemnber 29, 2015, the reporting person was granted 3,689 restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date.