SEC Form 4 · accession 0001498301-17-000087
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 28, 2017
Accepted (ET)
Sep 29, 2017 · 12:53 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 |
|---|---|---|---|---|---|---|---|---|
| Common | holding | — | — | — | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option To BuyF1,F2 | $2.44 | Sep 28, 2017 | A | 630,000 | A | Sep 28, 2018 | Sep 28, 2024 | Common | 630,000 | 630,000 | D |
Explanation of responses
- F1Granted under the Company's 2016 Omnibus Incentive Plan.
- F2Vests in two annual installments beginning on the first anniversary of the grant date.