SEC Form 4 · accession 0001498301-16-000169
Ascena Retail Group, Inc. · ASNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David R Jaffe
Officer — President & CEO · Director
Period of report
Sep 21, 2016
Accepted (ET)
Sep 23, 2016 · 4:30 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 |
|---|---|---|---|---|---|---|---|---|
| Common | holding | — | — | — | 11,607,037 | D |
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 | $5.56 | Sep 21, 2016 | A | 475,427 | A | Sep 21, 2017 | Sep 21, 2023 | Common | 475,427 | 475,427 | D |
| Restricted Stock UnitsF1,F3,F4 | — | Sep 21, 2016 | A | 155,172 | A | — | — | Common | 155,172 | 155,172 | D |
Explanation of responses
- F1Granted under the Company's 2016 Omnibus Incentive Plan.
- F2Vests in three equal annual installments with the first installment beginning on the first anniversary of the grant date.
- F3Restricted stock units convert into common stock on a one-for-one basis.
- F4On September 21, 2016, the reporting person ws granted 155,172 restricted stock units, vesting in three equal installments beginning on the first anniversary of the grant date.