SEC Form 4 · accession 0001498301-17-000090
Ascena Retail Group, Inc. · ASNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Krill Katherine Lawther
Director
Period of report
Sep 28, 2017
Accepted (ET)
Sep 29, 2017 · 1:05 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 | holding | — | — | — | 20,246 | D | ||
| Common | holding | — | — | — | 299,476 | I | By GRAT |
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,F3,F4 | — | Sep 28, 2017 | A | 36,992 | A | — | — | Common | 36,992 | 36,992 | D |
Explanation of responses
- F1On December 12, 2016, the reporting person contributed 299,476 shares previously owned directly by her to a grantor retained annuity trust (the "GRAT"). The shares contributed to the GRAT are now being reported as indirectly held by the reporting person.
- F2Granted under the Company's 2016 Omnibus Incentive Plan.
- F3Restricted stock units convert into common stock on a one-for-one basis.
- F4On September 28, 2017, the reporting person was granted 36,992 restricted stock units, vesting one year from the grant date.