SEC Form 4 · accession 0001498301-18-000087
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
Oct 3, 2018
Accepted (ET)
Oct 5, 2018 · 2:37 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 | — | — | — | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Opiton To BuyF1,F2 | $3.92 | Oct 3, 2018 | A | 37,301 | A | — | — | Common | 37,301 | 37,301 | 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.