JAFFE ELLIOT S 4

Accession 0000717724-12-000051

CIK 0001498301other

View on SEC.gov Company Profile

Filed

Oct 3, 8:00 PM ET

Accepted

Oct 4, 5:08 PM ET

Size

32.5 KB

Accession

0000717724-12-000051

Insider Transaction Report

Form 4

Period: 2012-10-02

Ascena Retail Group, Inc.ASNA

JAFFE ELLIOT S

Director

Transactions

Exercise/Conversion
Common
2012-10-02$5.92/sh+75,000$444,000→ 1,124,114 total
Sale
Common
2012-10-02$20.76/sh−75,000$1,557,203→ 1,049,114 total
Exercise/Conversion
Common
2012-10-03$5.92/sh+300,000$1,776,000→ 1,349,114 total
Sale
Common
2012-10-03$20.21/sh−300,000$6,062,040→ 1,049,114 total
Exercise/Conversion
Common
2012-10-04$5.92/sh+105,000$621,600→ 1,154,114 total
Sale
Common
2012-10-04$20.87/sh−105,000$2,191,035→ 1,049,114 total
Exercise/Conversion
Option To Buy
2012-10-04−105,000→ 0 total
Exercise: $5.92From: 2006-10-12Exp: 2015-10-12→ Common (105,000 underlying)
Exercise/Conversion
Option To Buy
2012-10-03−300,000→ 105,000 total
Exercise: $5.92From: 2006-10-12Exp: 2015-10-15→ Common (300,000 underlying)
Exercise/Conversion
Option To Buy
2012-10-02−75,000→ 405,000 total
Exercise: $5.92From: 2006-10-12Exp: 2015-10-12→ Common (75,000 underlying)

Holdings

Common
(indirect: See Footnote (1))
762,938
Option to Buy
Exercise: $7.03From: 2008-11-28Exp: 2017-11-28→ Common (20,000 underlying)
20,000
Option to Buy
Exercise: $7.50From: 2009-09-18Exp: 2018-09-18→ Comon (10,000 underlying)
10,000
Restricted Stock Units
From: 2013-09-20Exp: 2022-09-20→ Common (5,000 underlying)
5,000
Option To Buy
Exercise: $11.64From: 2011-09-23Exp: 2020-09-23→ Common (20,000 underlying)
20,000
Option To Buy
Exercise: $26.27From: 2012-09-21Exp: 2021-09-21→ Common (10,000 underlying)
10,000
Option to Buy
Exercise: $8.84From: 2010-09-24Exp: 2019-09-24→ Common (10,000 underlying)
10,000

Footnotes (11)

[F1]This transaction was executed in multiple trades ranging from $20.66 to $20.91. 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.
[F10]Restricted stock units issued under the Company's 2010 Stock Incentive Plan
[F11]These units vest in four equal installments on September 20, 2013, September 20, 2014, September 20, 2015 and September 20, 2016.
[F2]This transaction was executed in multiple trades ranging from $20.51 to $20.81. 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.
[F3]This transaction was executed in multiple trades ranging from $20.67 to $21.13. 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.
[F4]Shares are held by Roslyn Jaffe, Mr. Jaffe's wife. Mr. Jaffe disclaims beneficial ownership of these shares.
[F5]Granted under the Company's 2001 Stock Incentive Plan.
[F6]Granted under the Company's 2010 Stock Incentive Plan.
[F7]Exercisable in five equal annual installments with the first installment on the date indicated.
[F8]Exercisable in three equal annual installments with the first installment on the date indicated.
[F9]Exercisable in four equal annual installment with the first installment on the date indicated.

Documents

2 files

Issuer

Ascena Retail Group, Inc.

CIK 0001498301

→

Entity typeother

IncorporatedCT

Related Parties

filerCIK 0000903343

Filing Metadata

Form type: 4
Filed: Oct 3, 8:00 PM ET
Accepted: Oct 4, 5:08 PM ET
Size: 32.5 KB

View on SEC.gov