SEC Form 4 · accession 0001498301-17-000115
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
Dec 10, 2017
Accepted (ET)
Dec 11, 2017 · 1:42 pm 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,F2 | Dec 10, 2017 | M | 4,235 | — | A | 24,481 | 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 UnitsF3,F1,F4 | — | Dec 10, 2017 | M | 4,235 | D | — | — | Common | 4,235 | 4,237 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2On 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.
- F3Granted under the Company's 2010 Stock Incentive Plan.
- F4On December 10, 2015, the reporting person was granted 12,708 restricted stock units, vesting in three annual installments being on the first anniversary of the grant date.