SEC Form 4 · accession 0001498301-16-000139
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
Mar 4, 2016
Accepted (ET)
Mar 8, 2016 · 10:25 am 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 | Mar 4, 2016 | M | 5,000 | $0.00 | A | 11,678 | 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 UnitsF2,F1 | $0.00 | Mar 4, 2016 | M | 5,000 | D | — | — | Common | 5,000 | 5,000 | D |
Explanation of responses
- F1On March 4, 2015, the reporting person was granted 10,000 restricted stock units, vesting in two equal installments beginning on the first anniversary of the grant date.
- F2Granted under the Company's 2010 Stock Incentive Plan.