SEC Form 4 · accession 0001498301-16-000189
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
Oct 15, 2016
Accepted (ET)
Oct 17, 2016 · 7:39 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 | Oct 15, 2016 | M | 3,000 | — | A | 20,073 | D | |
| Common | Oct 15, 2016 | F | 1,031 | $5.22 | D | 19,042 | 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,F3 | — | Oct 15, 2016 | M | 3,000 | D | — | — | Common | 3,000 | 0 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2Restricted stock units issued under the Company's 2010 Stock Incentive Plan.
- F3On March 4, 2015, the reporting person was granted 6,000 restricted stock units, vesting in two equal installments on October 15, 2015 and October 15, 2016..