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Ascena Retail Group, Inc.·4

Oct 4, 5:08 PM ET

JAFFE ELLIOT S 4

4 · Ascena Retail Group, Inc. · Filed Oct 4, 2012

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

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