Filing Details
- Accession Number:
- 0000717724-12-000026
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-07-19 15:19:59
- Reporting Period:
- 2012-07-17
- Filing Date:
- 2012-07-19
- Accepted Time:
- 2012-07-19 15:19:59
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1498301 | Ascena Retail Group Inc. | ASNA | Retail-Apparel & Accessory Stores (5600) | 300641353 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1234435 | Armand Correia | C/O Ascena Retail Group, Inc. 30 Dunnigan Drive Suffern NY 10901 | Executive Vice President & Cfo | No | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common | Disposition | 2012-07-17 | 10,000 | $18.70 | 17,726 | No | 4 | S | Direct | |
Common | Disposition | 2012-07-18 | 15,000 | $18.72 | 2,726 | No | 4 | S | Direct | |
Common | Acquisiton | 2012-07-19 | 6,000 | $5.92 | 8,726 | No | 4 | M | Direct | |
Common | Acquisiton | 2012-07-19 | 1,500 | $7.50 | 10,226 | No | 4 | M | Direct | |
Common | Disposition | 2012-07-19 | 10,000 | $19.32 | 226 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common | Option To Buy | Disposition | 2012-07-19 | 6,000 | $0.00 | 6,000 | $5.92 |
Common | Option to Buy | Disposition | 2012-07-19 | 1,500 | $0.00 | 1,500 | $7.50 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2006-10-12 | 2015-10-12 | No | 4 | M | Direct |
118,500 | 2009-09-18 | 2018-09-18 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common | 27,726 | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common | Option To Buy | $8.84 | 2010-09-24 | 2019-09-24 | 40,000 | 40,000 | Direct |
Common | Option To Buy | $11.70 | 2011-09-23 | 2020-09-23 | 50,000 | 50,000 | Direct |
Common | Option To Buy | $13.14 | 2012-09-21 | 2021-09-21 | 50,000 | 50,000 | Direct |
Common | Restricted Stock Units | $0.00 | 20,000 | 20,000 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2019-09-24 | 40,000 | 40,000 | Direct |
2020-09-23 | 50,000 | 50,000 | Direct |
2021-09-21 | 50,000 | 50,000 | Direct |
20,000 | 20,000 | Direct |
Footnotes
- This transaction was executed in multiple trades ranging from $18.70 to $18.74. The price reported above reflects the weighted average sale price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the issuer or a security holder of the issuer.
- This transaction was executed in multiple trades ranging from $18.65 to $18.80. The price reported above reflects the weighted average sale price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the issuer or a security holder of the issuer.
- This transaction was executed in multiple trades ranging from $19.3005 to $19.35. The price reported above reflects the weighted average sale price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the issuer or a security holder of the issuer.
- Granted under the Company's 2001 Stock Incentive Plan
- Granted under the Company's 2010 Stock Incentive Plan.
- Exercisable in five equal annual installments with the first installment exercisable on the date indicated.
- Exercisable in four equal annual installments with the first installment exercisable on the date indicated.
- Each restricted stock unit ("RSU") represents a contingent right to receive one share of Ascena common stock under the 2014 LTIP.
- The number of RSU's to be received will be based upon the percentage achievement by Ascena of certain financial performance targets for Ascena's fiscal years 2012, 2013 and 2014.