SEC Form 4 · accession 0001498301-17-000064
Ascena Retail Group, Inc. · ASNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David R Jaffe
Officer — Chairman & CEO · Director
Period of report
Sep 21, 2017
Accepted (ET)
Sep 22, 2017 · 4:50 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 21, 2017 | M | 51,734 | — | A | 11,679,375 | D | |
| Common | Sep 21, 2017 | F | 17,771 | $2.11 | D | 11,661,604 | 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 21, 2017 | M | 51,734 | D | — | — | Common | 51,734 | 103,438 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2Granted under the Company's 2016 Omnibus Incentive Plan.
- F3On September 21, 2016, the reporting person was granted 155,172 restricted stock units, vesting in three annual installments beginning on the first anniversary of the grant date.