Filing Details
- Accession Number:
- 0001498301-16-000179
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-09-27 15:12:40
- Reporting Period:
- 2016-09-23
- Filing Date:
- 2016-09-27
- Accepted Time:
- 2016-09-27 15:12:40
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1498301 | Ascena Retail Group Inc. | ASNA | () | CT |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
903343 | S Elliot Jaffe | C/O Ascena Retail Group, Inc. 933 Macarthur Boulevard Mahwah NJ 07430 | Chairman | 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 | 2016-09-23 | 1,666 | $0.00 | 1,068,187 | No | 4 | M | Direct | |
Common | Acquisiton | 2016-09-26 | 1,667 | $0.00 | 1,069,854 | No | 4 | M | Direct | |
Common | Disposition | 2016-09-27 | 1,190 | $5.66 | 1,068,664 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
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 | Restricted Stock Units | Disposition | 2016-09-23 | 1,666 | $0.00 | 1,666 | $0.00 |
Common | Restricted Stock Units | Disposition | 2016-09-26 | 1,667 | $0.00 | 1,667 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
1,667 | No | 4 | M | Direct | ||
0 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common | 862,938 | Indirect | See Footnote (3) |
Footnotes
- Restricted stock units convert into common stock on a one-for-one basis.
- Shares sold to pay taxes due upon vesting of restricted stock units.
- Shares are held by Roslyn Jaffe, Mr. Jaffe's wife. Mr. Jaffe disclaims beneficial ownership of these shares.
- Granted under the Company's 2010 Stock Incentive Plan.
- On September 23, 2014, the reporting person was granted 5,000 restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date.
- On September 26, 2013, the reporting person was granted 5,000 restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date.