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
  1. Shares by Diane Nye, Mr. Rayden's wife. Mr. Rayden disclaims ownership of these shares.
  2. 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.
  3. Granted under the Company's 2010 Stock Incentive Plan.
  4. Exercisable in four equal installments with the first installment on the date indicated.
  5. Each restricted stock unit ("RSU") represents a contingent right to receive one share of Ascena common stock.
  6. 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.
  7. These shares of performance based stock were awarded under the Company's 2015 Long Term Incentive Plan (the "2015 LTIP").
  8. Each restricted stock unit ("RSU") represents a contingent right to receive one share of Ascena common stock.
  9. 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.