SEC Form 4 · accession 0001498301-16-000206
Ascena Retail Group, Inc. · ASNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian E Lynch
Officer — Chief Operating Officer
Period of report
Dec 7, 2016
Accepted (ET)
Dec 9, 2016 · 12:01 pm 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 |
|---|---|---|---|---|---|---|---|---|
| Common | holding | — | — | — | 12,053 | 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 UnitsF1,F2,F3 | — | Dec 7, 2016 | A | 2,681 | A | — | — | Common | 2,681 | 2,681 | D |
| Restricted Stock UnitsF1,F2,F4 | — | Dec 7, 2016 | A | 10,363 | A | — | — | Common | 10,363 | 10,363 | D |
| Opiton To BuyF1,F5 | $7.51 | Dec 7, 2016 | A | 7,638 | A | Dec 7, 2017 | Dec 7, 2023 | Common | 7,638 | 7,638 | D |
Explanation of responses
- F1Granted under the Company's 2016 Omnibus Incentive Plan.
- F2Restricted stock units convert into common stock on a one-for-one basis.
- F3On December 7, 2016, the reporting person was granted 2,681 restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date.
- F4On December 7, 2016, the reporting person was granted 10,363 restricted stock units, vesting in two equal annual installments beginning on the first anniversary of the grant date.
- F5Vests in three equal annual installments with the first installment beginning on the first anniversary of the grant date.