SEC Form 4 · accession 0001498301-18-000077
Ascena Retail Group, Inc. · ASNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Giammatteo
Officer — EVP, CFO
Period of report
Sep 29, 2018
Accepted (ET)
Oct 2, 2018 · 1:22 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 29, 2018 | M | 2,007 | — | A | 33,303 | D | |
| Common | Oct 1, 2018 | F | 630 | $4.57 | D | 32,673 | 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 29, 2018 | M | 2,007 | D | — | — | Commmon | 2,007 | 0 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2Restricted stock units issued under the Company's 2010 Stock Incentive Plan.
- F3On September 29, 2015, the reporting person was granted 6,019 restricted stock units, vesting in three annual installments beginning on the first anniversary of the grant date.