SEC Form 4 · accession 0001498301-16-000127
Ascena Retail Group, Inc. · ASNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John E Pershing
Officer — EVP, Chief HR Officer
Period of report
Jan 27, 2016
Accepted (ET)
Jan 28, 2016 · 5:31 pm EST
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 | Jan 27, 2016 | M | 12,000 | $0.00 | A | 19,903 | D | |
| CommonF2,F3 | Jan 28, 2016 | S | 4,505 | $7.4738 | D | 15,398 | 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 UnitsF4,F1 | $0.00 | Jan 27, 2016 | M | 12,000 | D | — | — | Common | 12,000 | 44,000 | D |
Explanation of responses
- F1On January 27, 2012, the reporting person was granted 80,000 restricted stock units, vesting as follows: 8,000 shares on the first, second and third anniversary of the grant date, 12,000 shares on the fourth anniversary of the grant date, 16,000 shares on the fifth anniversary of the grant date, and 28,000 shares on the sixth anniversary date of the grant.
- F2Shares sold to pay taxes due upon vesting of restricted stock.
- F3This transaction was executed in multiple trades ranging from $7.47 to $7.4753. The price reported above reflects the weighted average sale price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the issuer or a security holder of the issuer.
- F4Restricted stock units issued under the Company's 2010 Stock Incentive Plan.