Filing Details
- Accession Number:
- 0001498301-16-000216
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-12-12 18:15:43
- Reporting Period:
- 2016-12-08
- Filing Date:
- 2016-12-12
- Accepted Time:
- 2016-12-12 18:15:43
- 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 | 2016-12-08 | 24,603 | $0.00 | 1,093,267 | No | 4 | M | Direct | |
| Common | Disposition | 2016-12-12 | 9,150 | $7.61 | 1,084,117 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2016-12-08 | 16,010 | $0.00 | 16,010 | $0.00 |
| Common | Restricted Stock Units | Disposition | 2016-12-08 | 1,667 | $0.00 | 1,667 | $0.00 |
| Common | Restricted Stock Units | Disposition | 2016-12-08 | 2,917 | $0.00 | 2,917 | $0.00 |
| Common | Restricted Stock Units | Disposition | 2016-12-08 | 2,916 | $0.00 | 2,916 | $0.00 |
| Common | Restricted Stock Units | Disposition | 2016-12-08 | 364 | $0.00 | 364 | $0.00 |
| Common | Restricted Stock Units | Disposition | 2016-12-08 | 364 | $0.00 | 364 | $0.00 |
| Common | Restrcited Stock Units | Disposition | 2016-12-08 | 365 | $0.00 | 365 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Direct | ||
| 0 | No | 4 | M | Direct | ||
| 2,916 | No | 4 | M | Direct | ||
| 0 | No | 4 | M | Direct | ||
| 729 | No | 4 | M | Direct | ||
| 365 | 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 (4) |
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.
- This transaction was executed in multiple trades ranging from $7.60 to $7.64 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 2016 Omnibus Incentive Plan.
- Effective December 8, 2016, the Compensation and Stock Incentive Committee of the Board of Directors accelerated the vesting of the Restricted Stock Units in connection with the reporting person's retirement as the Non-Executive Chairman of the Board of Directors pursuant to the Company's 2010 Stock Incentive Plan and 2016 Omnibus Incentive Plan.
- Granted under the Company's 2010 Stock Incentive Plan.
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