Filing Details
- Accession Number:
- 0000717724-12-000045
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-09-26 14:55:21
- Reporting Period:
- 2012-09-24
- Filing Date:
- 2012-09-26
- Accepted Time:
- 2012-09-26 14:55:21
- 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 |
---|---|---|---|---|---|---|---|
1200534 | Gene Wexler | C/O Ascena Retail Group, Inc. 30 Dunnigan Drive Suffern NY 10901 | Svp, General Counsel | 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 | 2012-09-24 | 2,726 | $21.56 | 12,626 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common | Option to Buy | $11.65 | 2007-11-29 | 2016-11-29 | 8,000 | 8,000 | Direct |
Common | Option to Buy | $7.50 | 2009-09-18 | 2018-09-18 | 100,000 | 100,000 | Direct |
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 | 40,000 | 40,000 | Direct |
Common | Option To Buy | $13.14 | 2012-09-21 | 2021-09-21 | 30,000 | 30,000 | Direct |
Common | Restricted Stock Units | $0.00 | 7,500 | 7,500 | Direct | ||
Common | Restricted Stock Units | $0.00 | 12,500 | 12,500 | Direct | ||
Common | Option To Buy | $20.79 | 2013-09-20 | 2022-09-20 | 17,500 | 17,500 | Direct |
C Ommon | Restricted Stock Units | $0.00 | 4,375 | 4,375 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2016-11-29 | 8,000 | 8,000 | Direct |
2018-09-18 | 100,000 | 100,000 | Direct |
2019-09-24 | 40,000 | 40,000 | Direct |
2020-09-23 | 40,000 | 40,000 | Direct |
2021-09-21 | 30,000 | 30,000 | Direct |
7,500 | 7,500 | Direct | |
12,500 | 12,500 | Direct | |
2022-09-20 | 17,500 | 17,500 | Direct |
4,375 | 4,375 | Direct |
Footnotes
- Includes 8,180 restricted shares awarded under the Company's Fiscal 2011 Long Term Incentive Plan the "2011 LTIP". These shares vest 1/3 on each of the following dates: 7/30/12, 7/30/13, and 7/30/14.
- 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 on the date indicated.
- Exercisable in four equal annual 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 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.
- Restricted stock units issued under the Company 2010 Stock Incentive Plan.
- These units vest in 2 equal installments on June 19, 2013 and June 19, 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 financilal performance targets for Ascena's fiscal year 2013, 2014 and 2015.