Filing Details
- Accession Number:
- 0000717724-12-000024
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-07-16 13:14:01
- Reporting Period:
- 2012-07-12
- Filing Date:
- 2012-07-16
- Accepted Time:
- 2012-07-16 12:14:01
- 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 |
|---|---|---|---|---|---|---|---|
| 1191900 | W Michael Rayden | C/O Ascena Retail Group, Inc. 30 Dunnigan Drive Suffern NY 10901 | Ceo, Tween Brands, Inc. | 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 | 2012-07-12 | 465 | $19.48 | 3,761 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common | 13,284 | 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 | $10.40 | 2010-12-09 | 2019-12-09 | 160,000 | 160,000 | Direct |
| Common | Option To Buy | $11.70 | 2011-09-23 | 2020-09-23 | 160,000 | 160,000 | Direct |
| Common | Option To Buy | $13.14 | 2012-09-21 | 2021-09-21 | 160,000 | 160,000 | Direct |
| Common | Restricted Stock Units | $0.00 | 77,970 | 77,970 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2019-12-09 | 160,000 | 160,000 | Direct |
| 2020-09-23 | 160,000 | 160,000 | Direct |
| 2021-09-21 | 160,000 | 160,000 | Direct |
| 77,970 | 77,970 | Direct |
Footnotes
- Shares were sold to pay the taxes due upon the vesting of shares of restricted stock.
- Shares held by Diane Nye, Mr. Rayden's wife. Mr. Rayden disclaiims beneficial owership of these shares.
- Granted under the Company's 2001 Stock Incentive Plan
- Exercisable in four equal installments with the first installment on the date indicated.
- Granted under the Company's 2010 Stock Incentive Plan.
- Each restricted stock unit ("RSU") represents a contingent right to receive one share of Ascena common stock.
- 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.
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