SEC Form 4 · accession 0001498301-16-000161
Ascena Retail Group, Inc. · ASNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Elliot S Jaffe
Officer — Chairman · Director
Period of report
Sep 17, 2016
Accepted (ET)
Sep 21, 2016 · 5:00 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 | Sep 17, 2016 | M | 2,917 | — | A | 1,065,701 | D | |
| CommonF1 | Sep 20, 2016 | M | 1,250 | — | A | 1,066,951 | D | |
| Common | Sep 20, 2016 | F | 430 | $5.69 | D | 1,066,521 | D | |
| CommonF2 | holding | — | — | — | 862,938 | I | See Footnote (2) |
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,F4 | — | Sep 17, 2016 | M | 2,917 | D | — | — | Common | 2,917 | 5,833 | D |
| Restricted Stock UnitsF3,F1,F5 | — | Sep 20, 2016 | M | 1,250 | D | — | — | Common | 1,250 | 0 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2Shares are held by Roslyn Jaffe, Mr. Jaffe's wife. Mr. Jaffe disclaims beneficial ownership of these shares.
- F3Granted under the Company's 2010 Stock Incentive Plan.
- F4On September 17, 2015, the reporting person was granted 8,750 restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date.
- F5On September 20, 2012, the reporting person was granted 5,000 restricted stock units, vesting in four equal annual installments beginning on the first anniversary of the grant date.