SEC Form 4 · accession 0001498301-17-000007
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, 2017
Accepted (ET)
Jan 23, 2017 · 11:45 am 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 |
|---|---|---|---|---|---|---|---|---|
| CommonF1 | Jan 21, 2017 | M | 2,513 | — | A | 2,513 | D | |
| Common | Jan 23, 2017 | F | 997 | $4.88 | D | 1,516 | 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 | — | Jan 21, 2017 | M | 2,513 | D | — | — | Common | 2,513 | 5,027 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2Granted under the Company's 2010 Stock Incentive Plan
- F3On January 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.