Filing Details
- Accession Number:
- 0000717724-12-000043
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-09-21 17:36:19
- Reporting Period:
- 2012-09-20
- Filing Date:
- 2012-09-21
- Accepted Time:
- 2012-09-21 17:36:19
- 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 |
---|---|---|---|---|---|---|---|
1191900 | W Michael Rayden | C/O Ascena Retail Group, Inc. 30 Dunnigan Drive Suffern NY 10901 | Ceo, Tween Brands, Inc. | Yes | 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 | Acquisiton | 2012-09-21 | 80,000 | $10.40 | 84,761 | No | 4 | M | Direct | |
Common | Acquisiton | 2012-09-21 | 40,000 | $11.70 | 124,761 | No | 4 | M | Direct | |
Common | Acquisiton | 2012-09-21 | 40,000 | $13.14 | 164,761 | No | 4 | M | Direct | |
Common | Disposition | 2012-09-21 | 160,000 | $21.77 | 4,761 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | 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 | 2012-09-21 | 80,000 | $0.00 | 80,000 | $10.40 |
Common | Option To Buy | Disposition | 2012-09-21 | 40,000 | $0.00 | 120,000 | $11.70 |
Common | Option To Buy | Disposition | 2012-09-21 | 40,000 | $0.00 | 120,000 | $13.14 |
Common | Option To Buy | Acquisiton | 2012-09-20 | 80,000 | $0.00 | 80,000 | $20.79 |
Common | Restricted Stock Units | Acquisiton | 2012-09-20 | 47,576 | $0.00 | 47,576 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
80,000 | 2010-12-09 | 2019-12-09 | No | 4 | M | Direct |
120,000 | 2011-09-23 | 2020-09-23 | No | 4 | M | Direct |
120,000 | 2012-09-21 | 2021-09-21 | No | 4 | M | Direct |
80,000 | 2013-09-20 | 2022-09-20 | No | 4 | A | Direct |
47,576 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common | 13,284 | Indirect | See Footnote 1. |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common | Restricted Stock Units | $0.00 | 77,970 | 77,970 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
77,970 | 77,970 | Direct |
Footnotes
- Shares by Diane Nye, Mr. Rayden's wife. Mr. Rayden disclaims ownership of these shares.
- This transaction was executed in multiple trades ranging from $21.63 to $21.99. 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 2010 Stock Incentive Plan.
- Exercisable in four equal installments with the first installment on the date indicated.
- Each restricted stock unit ("RSU") represents a contingent right to receive one share of Ascena common stock.
- 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.
- These shares of performance based stock were awarded under the Company's 2015 Long Term Incentive Plan (the "2015 LTIP").
- Each restricted stock unit ("RSU") represents a contingent right to receive one share of Ascena common stock.
- The number of RSU's to be received will be based upon the percentage of achievement by Ascena of certain financial performance targets for Ascena's fiscal year 2013, 2014 and 2015.