Filing Details

Accession Number:
0000717724-12-000020
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2012-07-03 10:02:39
Reporting Period:
2012-06-29
Filing Date:
2012-07-03
Accepted Time:
2012-07-03 10:02:39
Original Submission Date:
2012-07-03
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 2012-06-29 50,000 $18.72 10,018,728 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S 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
Common Restricted Share Units $0.00 35,000 35,000 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
35,000 35,000 Direct
Footnotes
  1. This amended Form 4 replaces in its entirety the Form 4 filed earlier today by Mr. Jaffe
  2. This transaction was executed in multiple trades ranging from $18.70 to $18.77. 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.
  3. Granted under the Company's 1995 Stock Option Plan
  4. Granted under the Company's 2001 Stock Incentive Plan
  5. Granted under the Company's 2010 Stock Incentive Plan.
  6. Exercisable in five equal annual installments with the first installment on the date indicated.
  7. Exercisable in four equal annual installments with the first installment on the date indicated.
  8. Vests 100% one year from date of grant.
  9. Each restricted stock unit ("RSU") represents a contingent right to receive one share of Ascena common stock under the 2014 LTIP.
  10. 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.
  11. These shares of performance based shares were awarded under the Company's 2011 Long Term Incentive Plan (the "2011 LTIP").
  12. These shares vest 1/3 on each of the following dates: July 30, 2012, July 30, 2013, and July 30, 2014.
  13. Restricted share units issued under the Company's 2010 Stock Incentive Plan.
  14. These units vested in two equal installments on June 19, 2013 and June 19, 2014.