SEC Form 4 · accession 0001498301-18-000097
Ascena Retail Group, Inc. · ASNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Catherine Elizabeth Buggeln
Director
Period of report
Oct 22, 2018
Accepted (ET)
Oct 23, 2018 · 3:20 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 | — | — | — | 82,480 | 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 UnitsF1,F2,F3 | — | Oct 22, 2018 | M | 24,138 | A | — | — | Common | 24,138 | 24,138 | D |
Explanation of responses
- F1Granted under the Company's 2016 Omnibus Incentive Plan.
- F2Restricted stock units convert into common stock on a one-for-one basis.
- F3On October 22, 2018, the reporting person was granted 24,138 restricted stock units, vesting one year from the grant date.