SEC Form 4 · accession 0001498301-16-000179
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 23, 2016
Accepted (ET)
Sep 27, 2016 · 3:12 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 23, 2016 | M | 1,666 | — | A | 1,068,187 | D | |
| CommonF1 | Sep 26, 2016 | M | 1,667 | — | A | 1,069,854 | D | |
| CommonF2 | Sep 27, 2016 | S | 1,190 | $5.6636 | D | 1,068,664 | D | |
| CommonF3 | holding | — | — | — | 862,938 | I | See Footnote (3) |
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,F5 | — | Sep 23, 2016 | M | 1,666 | D | — | — | Common | 1,666 | 1,667 | D |
| Restricted Stock UnitsF4,F1,F6 | — | Sep 26, 2016 | M | 1,667 | D | — | — | Common | 1,667 | 0 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2Shares sold to pay taxes due upon vesting of restricted stock units.
- F3Shares are held by Roslyn Jaffe, Mr. Jaffe's wife. Mr. Jaffe disclaims beneficial ownership of these shares.
- F4Granted under the Company's 2010 Stock Incentive Plan.
- F5On September 23, 2014, the reporting person was granted 5,000 restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date.
- F6On September 26, 2013, the reporting person was granted 5,000 restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date.