Filing Details
- Accession Number:
- 0000717724-11-000046
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-09-23 11:51:59
- Reporting Period:
- 2011-09-21
- Filing Date:
- 2011-09-23
- Accepted Time:
- 2011-09-23 11:51:59
- 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 | 2011-09-22 | 100,000 | $24.85 | 100,000 | No | 4 | P | Indirect | See Footnote (2) |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See Footnote (2) |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common | Option To Buy | Acquisiton | 2011-09-21 | 10,000 | $0.00 | 10,000 | $26.27 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
10,000 | 2012-09-21 | 2021-09-21 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common | 524,557 | Direct | |
Common | 381,469 | 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 | $11.84 | 2006-10-12 | 2015-10-12 | 240,000 | 240,000 | Direct |
Common | Option to Buy | $14.06 | 2008-11-28 | 2017-11-28 | 10,000 | 10,000 | Direct |
Comon | Option to Buy | $14.99 | 2009-09-18 | 2018-09-18 | 5,000 | 5,000 | Direct |
Common | Option to Buy | $17.67 | 2010-09-24 | 2019-09-24 | 5,000 | 5,000 | Direct |
Common | Option To Buy | $23.39 | 2011-09-23 | 2020-09-23 | 10,000 | 10,000 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2015-10-12 | 240,000 | 240,000 | Direct |
2017-11-28 | 10,000 | 10,000 | Direct |
2018-09-18 | 5,000 | 5,000 | Direct |
2019-09-24 | 5,000 | 5,000 | Direct |
2020-09-23 | 10,000 | 10,000 | Direct |
Footnotes
- Shares are held by Roslyn Jaffe, Mr. Jaffe's wife. Mr. Jaffe disclaims beneficial ownership of these shares.
- Mr. Jaffe purchased 100,000 shares on behalf of the Jaffe Family Foundation. Mr. Jaffe is President of the Foundation. Mr. Jaffe disclaims any beneficial ownershp 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.