SEC Form 4 · accession 0001498301-17-000057
Ascena Retail Group, Inc. · ASNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David R Jaffe
Officer — Chairman and CEO · Director
Period of report
Sep 16, 2017
Accepted (ET)
Sep 18, 2017 · 2:51 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 16, 2017 | M | 31,386 | — | A | 11,638,423 | D | |
| Common | Sep 18, 2017 | F | 10,782 | $2.23 | D | 11,627,641 | 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 | — | Sep 16, 2017 | M | 31,386 | D | — | — | Common | 31,386 | 31,388 | 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 September 16, 2015, the reporting person ws granted 94,170 restricted stock units, vesting in three annual installments beginning on the first anniversary of the grant date.