SEC Form 4 · accession 0001498301-17-000006
Ascena Retail Group, Inc. · ASNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Duane D Holloway
Officer — EVP, General Counsel
Period of report
Jan 21, 2016
Accepted (ET)
Jan 13, 2017 · 4:19 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 |
|---|---|---|---|---|---|---|---|---|
| No Securities Are Beneficially Owned | holding | — | — | — | 0 | 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 | $7.63 | Jan 21, 2016 | A | 23,077 | A | Jan 21, 2017 | Jan 21, 2023 | Common | 23,077 | 23,077 | D |
| Restricted Stock UnitsF1,F3,F4 | — | Jan 21, 2016 | A | 7,540 | A | — | — | Common | 7,540 | 7,540 | D |
Explanation of responses
- F1Granted under the Company's 2010 Stock 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 Janury 21, 2016, the reporting person was granted 7,540 restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date.