SEC Form 4 · accession 0001498301-15-000075
Ascena Retail Group, Inc. · ASNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Giammatteo
Officer — EVP, CFO
Period of report
Oct 15, 2015
Accepted (ET)
Oct 16, 2015 · 5:09 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 |
|---|---|---|---|---|---|---|---|---|
| CommonF1 | Oct 15, 2015 | A | 1,250 | $0.00 | A | 1,583 | D | |
| CommonF2 | Oct 16, 2015 | S | 405 | $13.074 | D | 1,178 | 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 UnitsF3,F1 | $0.00 | Oct 15, 2015 | A | 1,250 | D | — | — | Common | 1,250 | 1,250 | D |
Explanation of responses
- F1On March 4, 2015, the reporting person was granted 2,500 restricted stock units, vesting in two equal installments on October 15, 2015 and October 15, 2016.
- F2Shares sold to pay taxes due upon vesting of restricted stock.
- F3Restricted stock units issued under the Company's 2010 Stock Incentive Plan.