Filing Details
- Accession Number:
- 0000717724-12-000013
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-06-21 16:23:32
- Reporting Period:
- 2012-06-19
- Filing Date:
- 2012-06-21
- Accepted Time:
- 2012-06-21 16:23:32
- 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 |
|---|---|---|---|---|---|---|---|
| 1234433 | R David Jaffe | C/O Ascena Retail Group, Inc. 30 Dunnigan Drive Suffern NY 10901 | President & Ceo | 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 | Disposition | 2012-06-19 | 150,000 | $19.48 | 10,402,328 | No | 4 | S | Direct | |
| Common | Disposition | 2012-06-20 | 250,000 | $19.59 | 10,152,328 | No | 4 | S | Direct | |
| Common | Disposition | 2012-06-21 | 33,600 | $19.75 | 10,118,728 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common | Restricted Share Units | Acquisiton | 2012-06-19 | 35,000 | $0.00 | 35,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 35,000 | No | 4 | A | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common | Options to Buy | $3.38 | 2003-12-09 | 2012-12-09 | 600,000 | 600,000 | Direct |
| Common | Option To Buy | $5.92 | 2006-10-12 | 2015-10-12 | 600,000 | 600,000 | Direct |
| Common | Option to Buy | $7.50 | 2009-09-18 | 2018-09-18 | 500,000 | 500,000 | Direct |
| Common | Option To Buy | $8.84 | 2010-09-24 | 2019-09-24 | 160,000 | 160,000 | Direct |
| Common | Option To Buy | $15.00 | 2010-12-09 | 2019-12-09 | 300,000 | 300,000 | Direct |
| Common | Option To Buy | $11.70 | 2011-09-23 | 2020-09-23 | 160,000 | 160,000 | Direct |
| Common | Option To Buy | $15.00 | 2011-09-23 | 2020-09-23 | 150,000 | 150,000 | Direct |
| Common | Option To Buy | $15.55 | 2012-03-09 | 2021-03-09 | 88,644 | 88,644 | Direct |
| Common | Option To Buy | $13.14 | 2012-09-21 | 2021-09-21 | 160,000 | 160,000 | Direct |
| Common | Restricted Stock Units | $0.00 | 160,000 | 160,000 | Direct | ||
| Common | Performance Share Units | $0.00 | 46,158 | 46,158 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2012-12-09 | 600,000 | 600,000 | Direct |
| 2015-10-12 | 600,000 | 600,000 | Direct |
| 2018-09-18 | 500,000 | 500,000 | Direct |
| 2019-09-24 | 160,000 | 160,000 | Direct |
| 2019-12-09 | 300,000 | 300,000 | Direct |
| 2020-09-23 | 160,000 | 160,000 | Direct |
| 2020-09-23 | 150,000 | 150,000 | Direct |
| 2021-03-09 | 88,644 | 88,644 | Direct |
| 2021-09-21 | 160,000 | 160,000 | Direct |
| 160,000 | 160,000 | Direct | |
| 46,158 | 46,158 | Direct |
Footnotes
- This transaction was executed in multiple trades ranging from $19.30 to $19.65. 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 $19.30 to $19.78. 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 $19.70 to $19.83. 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.
- Granted under the Company's 1995 Stock Option Plan
- 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.
- Vests 100% one year from date of grant.
- 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.
- These shares of performance based shares were awarded under the Company's 2011 Long Term Incentive Plan (the "2011 LTIP").
- These shares vest 1/3 on each of the following dates: July 30, 2012, July 30, 2013, and July 30, 2014.
- Restricted share units issued under the Company's 2010 Stock Incentive Plan.
- These units vested in two equal installments on June 19, 2013 and June 19, 2014.
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