Filing Details
- Accession Number:
- 0000717724-12-000046
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-09-27 16:14:19
- Reporting Period:
- 2012-09-25
- Filing Date:
- 2012-09-27
- Accepted Time:
- 2012-09-27 16:14:19
- 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 |
|---|---|---|---|---|---|---|---|
| 1234435 | Armand Correia | C/O Ascena Retail Group, Inc. 30 Dunnigan Drive Suffern NY 10901 | Executive Vice President & Cfo | No | 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 | 2012-09-25 | 12,000 | $7.50 | 12,226 | No | 4 | M | Direct | |
| Common | Disposition | 2012-09-25 | 12,000 | $21.51 | 226 | No | 4 | S | Direct | |
| Common | Acquisiton | 2012-09-26 | 12,000 | $7.50 | 12,226 | No | 4 | M | Direct | |
| Common | Disposition | 2012-09-26 | 12,000 | $21.50 | 226 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| 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 | Option to Buy | Disposition | 2012-09-25 | 12,000 | $0.00 | 12,000 | $7.50 |
| Common | Option to Buy | Disposition | 2012-09-26 | 12,000 | $0.00 | 12,000 | $7.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 106,500 | 2009-09-18 | 2018-09-18 | No | 4 | M | Direct |
| 94,500 | 2009-09-18 | 2018-09-18 | No | 4 | M | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common | Option To Buy | $8.84 | 2010-09-24 | 2019-09-24 | 40,000 | 40,000 | Direct |
| Common | Option To Buy | $11.70 | 2011-09-23 | 2020-09-23 | 50,000 | 50,000 | Direct |
| Common | Option To Buy | $13.14 | 2012-09-21 | 2021-09-21 | 50,000 | 50,000 | Direct |
| Common | Restricted Stock Units | $0.00 | 10,000 | 10,000 | Direct | ||
| Common | Option To Buy | $20.79 | 2013-09-20 | 2022-09-20 | 25,000 | 25,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2019-09-24 | 40,000 | 40,000 | Direct |
| 2020-09-23 | 50,000 | 50,000 | Direct |
| 2021-09-21 | 50,000 | 50,000 | Direct |
| 10,000 | 10,000 | Direct | |
| 2022-09-20 | 25,000 | 25,000 | Direct |
Footnotes
- 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 exercisable on the date indicated.
- Exercisable in four equal annual installments with the first installment exercisable on the date indicated.
- 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 2013, 2014 and 2015.
- These shares of performance based stock were awarded under the Company's 2015 Long Term Incentive Plan (the "2015 LTIP").
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