SEC Form 4 · accession 0001498301-18-000122
Ascena Retail Group, Inc. · ASNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian E Lynch
Officer — President & COO
Period of report
Dec 7, 2018
Accepted (ET)
Dec 11, 2018 · 11:41 am 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 | Dec 7, 2018 | M | 893 | — | A | 82,711 | D | |
| CommonF1 | Dec 7, 2018 | M | 5,181 | — | A | 87,892 | 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 | — | Dec 7, 2018 | M | 893 | D | — | — | Common | 893 | 895 | D |
| Restricted Stock UnitsF2,F1,F4 | — | Dec 7, 2018 | M | 5,181 | D | — | — | Common | 5,181 | 0 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2Granted under the Company's 2016 Omnibus Incentive Plan.
- F3On December 7, 2016, the reporting person was granted 2,681 restricted stock units, vesting in three annual installments beginning on the first anniversary of the grant date.
- F4On December 7, 2016, the reporting person was granted 10,363 restricted stock units, vesting in two annual installments beginning on the first anniversary of the grant date.