Filing Details
- Accession Number:
- 0000717724-12-000051
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-10-04 17:08:33
- Reporting Period:
- 2012-10-02
- Filing Date:
- 2012-10-04
- Accepted Time:
- 2012-10-04 17:08:33
- 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 |
|---|---|---|---|---|---|---|---|
| 903343 | S Elliot Jaffe | C/O Ascena Retail Group, Inc. 30 Dunnigan Drive Suffern NY 10901 | Yes | No | 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 | 2012-10-02 | 75,000 | $5.92 | 1,124,114 | No | 4 | M | Direct | |
| Common | Disposition | 2012-10-02 | 75,000 | $20.76 | 1,049,114 | No | 4 | S | Direct | |
| Common | Acquisiton | 2012-10-03 | 300,000 | $5.92 | 1,349,114 | No | 4 | M | Direct | |
| Common | Disposition | 2012-10-03 | 300,000 | $20.21 | 1,049,114 | No | 4 | S | Direct | |
| Common | Acquisiton | 2012-10-04 | 105,000 | $5.92 | 1,154,114 | No | 4 | M | Direct | |
| Common | Disposition | 2012-10-04 | 105,000 | $20.87 | 1,049,114 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2012-10-04 | 105,000 | $0.00 | 105,000 | $5.92 |
| Common | Option To Buy | Disposition | 2012-10-03 | 300,000 | $0.00 | 300,000 | $5.92 |
| Common | Option To Buy | Disposition | 2012-10-02 | 75,000 | $0.00 | 75,000 | $5.92 |
| 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 |
| 105,000 | 2006-10-12 | 2015-10-15 | No | 4 | M | Direct |
| 405,000 | 2006-10-12 | 2015-10-12 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common | 762,938 | Indirect | See Footnote (1) |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common | Option to Buy | $7.03 | 2008-11-28 | 2017-11-28 | 20,000 | 20,000 | Direct |
| Comon | Option to Buy | $7.50 | 2009-09-18 | 2018-09-18 | 10,000 | 10,000 | Direct |
| Common | Option to Buy | $8.84 | 2010-09-24 | 2019-09-24 | 10,000 | 10,000 | Direct |
| Common | Option To Buy | $11.65 | 2011-09-23 | 2020-09-23 | 20,000 | 20,000 | Direct |
| Common | Option To Buy | $26.27 | 2012-09-21 | 2021-09-21 | 10,000 | 10,000 | Direct |
| Common | Restricted Stock Units | $0.00 | 2013-09-20 | 2022-09-20 | 5,000 | 5,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2017-11-28 | 20,000 | 20,000 | Direct |
| 2018-09-18 | 10,000 | 10,000 | Direct |
| 2019-09-24 | 10,000 | 10,000 | Direct |
| 2020-09-23 | 20,000 | 20,000 | Direct |
| 2021-09-21 | 10,000 | 10,000 | Direct |
| 2022-09-20 | 5,000 | 5,000 | Direct |
Footnotes
- This transaction was executed in multiple trades ranging from $20.66 to $20.91. 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 $20.51 to $20.81. 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 $20.67 to $21.13. 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.
- Shares are held by Roslyn Jaffe, Mr. Jaffe's wife. Mr. Jaffe disclaims beneficial ownership of these shares.
- 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 three equal annual installments with the first installment on the date indicated.
- Exercisable in four equal annual installment with the first installment on the date indicated.
- Restricted stock units issued under the Company's 2010 Stock Incentive Plan
- These units vest in four equal installments on September 20, 2013, September 20, 2014, September 20, 2015 and September 20, 2016.
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