Amended Statement of Beneficial Ownership (sc 13d/a)
September 30 2019 - 6:08AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
SCHEDULE 13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT
TO RULE 13d-2(a)
(Amendment No. 1)*
ASCENA RETAIL
GROUP, INC.
(Name of Issuer)
Common Stock, $0.01 par value per share
(Title of Class of Securities)
04351G101
(CUSIP Number)
Golden Gate Capital
One Embarcadero Center, 39th Floor
San Francisco, CA 94111
Attn: Stephen D. Oetgen
(415) 983-2700
(Name,
Address and Telephone Number of Person Authorized to Receive Notices and Communications)
September 26, 2019
(Date of Event Which Requires Filing of this Statement)
If the filing
person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rules 13d-1(e), 13d-1(f) or 13d-1(g), check the following box. ☐
Note: Schedules filed in paper
format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent.
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*
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The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form
with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
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The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of
the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
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1.
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NAME OF
REPORTING PERSON
GGC Public Equities Opportunities Investments, LLC
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2.
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CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP
(a) ☐ (b) ☒
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3.
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SEC USE ONLY
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4.
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SOURCE OF FUNDS
WC
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5.
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CHECK IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐
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6.
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CITIZENSHIP OR PLACE OF
ORGANIZATION
Delaware
|
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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7.
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SOLE VOTING POWER
0
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8.
|
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SHARED VOTING POWER
0
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9.
|
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SOLE DISPOSITIVE POWER
0
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10.
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SHARED DISPOSITIVE POWER
0
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11.
|
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
|
|
12.
|
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(11) EXCLUDES CERTAIN SHARES ☐
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13.
|
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PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)
0%
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14.
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TYPE OF REPORTING PERSON
OO
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1.
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NAME OF
REPORTING PERSON
GGC Public Equities Opportunities, L.P.
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2.
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CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP
(a) ☐ (b) ☒
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3.
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SEC USE ONLY
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4.
|
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SOURCE OF FUNDS
WC
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5.
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CHECK IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐
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6.
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CITIZENSHIP OR PLACE OF
ORGANIZATION
Cayman Islands
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
7.
|
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SOLE VOTING POWER
0
|
|
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8.
|
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SHARED VOTING POWER
0
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9.
|
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SOLE DISPOSITIVE POWER
0
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10.
|
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SHARED DISPOSITIVE POWER
0
|
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11.
|
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
|
|
12.
|
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(11) EXCLUDES CERTAIN SHARES ☐
|
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13.
|
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PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)
0%
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14.
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TYPE OF REPORTING PERSON
PN
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1.
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NAME OF
REPORTING PERSON
GGC Public Equities Opportunities Blocker Corporation,
Ltd.
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2.
|
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CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP
(a) ☐ (b) ☒
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3.
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SEC USE ONLY
|
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4.
|
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SOURCE OF FUNDS
OO
|
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5.
|
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CHECK IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐
|
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6.
|
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CITIZENSHIP OR PLACE OF
ORGANIZATION
Cayman Islands
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
7.
|
|
SOLE VOTING POWER
0
|
|
|
8.
|
|
SHARED VOTING POWER
0
|
|
|
9.
|
|
SOLE DISPOSITIVE POWER
0
|
|
|
10.
|
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SHARED DISPOSITIVE POWER
0
|
|
11.
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
|
|
12.
|
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(11) EXCLUDES CERTAIN SHARES ☐
|
|
13.
|
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PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)
0%
|
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14.
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TYPE OF REPORTING PERSON
CO
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1.
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NAME OF
REPORTING PERSON
Golden Gate Capital Opportunity Fund, L.P.
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2.
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP
(a) ☐ (b) ☒
|
|
3.
|
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SEC USE ONLY
|
|
4.
|
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SOURCE OF FUNDS
OO
|
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5.
|
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CHECK IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐
|
|
6.
|
|
CITIZENSHIP OR PLACE OF
ORGANIZATION
Cayman Islands
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
7.
|
|
SOLE VOTING POWER
0
|
|
|
8.
|
|
SHARED VOTING POWER
0
|
|
|
9.
|
|
SOLE DISPOSITIVE POWER
0
|
|
|
10.
|
|
SHARED DISPOSITIVE POWER
0
|
|
11.
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
|
|
12.
|
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(11) EXCLUDES CERTAIN SHARES ☐
|
|
13.
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)
0%
|
|
14.
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TYPE OF REPORTING PERSON
PN
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1.
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NAME OF
REPORTING PERSON
Golden Gate Capital Opportunity Fund-A, L.P.
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|
2.
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP
(a) ☐ (b) ☒
|
|
3.
|
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SEC USE ONLY
|
|
4.
|
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SOURCE OF FUNDS
OO
|
|
5.
|
|
CHECK IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐
|
|
6.
|
|
CITIZENSHIP OR PLACE OF
ORGANIZATION
Cayman Islands
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
7.
|
|
SOLE VOTING POWER
0
|
|
|
8.
|
|
SHARED VOTING POWER
0
|
|
|
9.
|
|
SOLE DISPOSITIVE POWER
0
|
|
|
10.
|
|
SHARED DISPOSITIVE POWER
0
|
|
11.
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
|
|
12.
|
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(11) EXCLUDES CERTAIN SHARES ☐
|
|
13.
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)
0%
|
|
14.
|
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TYPE OF REPORTING PERSON
PN
|
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|
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1.
|
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NAME OF
REPORTING PERSON
GGCOF Co-Invest, L.P.
|
|
2.
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP
(a) ☐ (b) ☒
|
|
3.
|
|
SEC USE ONLY
|
|
4.
|
|
SOURCE OF FUNDS
OO
|
|
5.
|
|
CHECK IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐
|
|
6.
|
|
CITIZENSHIP OR PLACE OF
ORGANIZATION
Cayman Islands
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
7.
|
|
SOLE VOTING POWER
0
|
|
|
8.
|
|
SHARED VOTING POWER
0
|
|
|
9.
|
|
SOLE DISPOSITIVE POWER
0
|
|
|
10.
|
|
SHARED DISPOSITIVE POWER
0
|
|
11.
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
|
|
12.
|
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(11) EXCLUDES CERTAIN SHARES ☐
|
|
13.
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)
0%
|
|
14.
|
|
TYPE OF REPORTING PERSON
PN
|
|
|
|
|
|
|
|
|
|
1.
|
|
NAME OF
REPORTING PERSON
GGCOF Co-Invest Management, L.P.
|
|
2.
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP
(a) ☐ (b) ☒
|
|
3.
|
|
SEC USE ONLY
|
|
4.
|
|
SOURCE OF FUNDS
OO
|
|
5.
|
|
CHECK IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐
|
|
6.
|
|
CITIZENSHIP OR PLACE OF
ORGANIZATION
Cayman Islands
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
7.
|
|
SOLE VOTING POWER
0
|
|
|
8.
|
|
SHARED VOTING POWER
0
|
|
|
9.
|
|
SOLE DISPOSITIVE POWER
0
|
|
|
10.
|
|
SHARED DISPOSITIVE POWER
0
|
|
11.
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
|
|
12.
|
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(11) EXCLUDES CERTAIN SHARES ☐
|
|
13.
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)
0%
|
|
14.
|
|
TYPE OF REPORTING PERSON
PN
|
|
|
|
|
|
|
|
|
|
1.
|
|
NAME OF
REPORTING PERSON
GGC Opportunity Fund Management, L.P.
|
|
2.
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP
(a) ☐ (b) ☒
|
|
3.
|
|
SEC USE ONLY
|
|
4.
|
|
SOURCE OF FUNDS
OO
|
|
5.
|
|
CHECK IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐
|
|
6.
|
|
CITIZENSHIP OR PLACE OF
ORGANIZATION
Cayman Islands
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
7.
|
|
SOLE VOTING POWER
0
|
|
|
8.
|
|
SHARED VOTING POWER
0
|
|
|
9.
|
|
SOLE DISPOSITIVE POWER
0
|
|
|
10.
|
|
SHARED DISPOSITIVE POWER
0
|
|
11.
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
|
|
12.
|
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(11) EXCLUDES CERTAIN SHARES ☐
|
|
13.
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)
0%
|
|
14.
|
|
TYPE OF REPORTING PERSON
PN
|
|
|
|
|
|
|
|
|
|
1.
|
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NAME OF
REPORTING PERSON
GGC Opportunity Fund Management GP, Ltd.
|
|
2.
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP
(a) ☐ (b) ☒
|
|
3.
|
|
SEC USE ONLY
|
|
4.
|
|
SOURCE OF FUNDS
OO
|
|
5.
|
|
CHECK IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐
|
|
6.
|
|
CITIZENSHIP OR PLACE OF
ORGANIZATION
Cayman Islands
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
7.
|
|
SOLE VOTING POWER
0
|
|
|
8.
|
|
SHARED VOTING POWER
0
|
|
|
9.
|
|
SOLE DISPOSITIVE POWER
0
|
|
|
10.
|
|
SHARED DISPOSITIVE POWER
0
|
|
11.
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
|
|
12.
|
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(11) EXCLUDES CERTAIN SHARES ☐
|
|
13.
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)
0%
|
|
14.
|
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TYPE OF REPORTING PERSON
CO
|
|
|
|
|
|
|
|
|
|
1.
|
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NAME OF
REPORTING PERSON
GGCOF Management, LLC
|
|
2.
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP
(a) ☐ (b) ☒
|
|
3.
|
|
SEC USE ONLY
|
|
4.
|
|
SOURCE OF FUNDS
OO
|
|
5.
|
|
CHECK IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐
|
|
6.
|
|
CITIZENSHIP OR PLACE OF
ORGANIZATION
Delaware
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
7.
|
|
SOLE VOTING POWER
0
|
|
|
8.
|
|
SHARED VOTING POWER
0
|
|
|
9.
|
|
SOLE DISPOSITIVE POWER
0
|
|
|
10.
|
|
SHARED DISPOSITIVE POWER
0
|
|
11.
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
|
|
12.
|
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(11) EXCLUDES CERTAIN SHARES ☐
|
|
13.
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)
0%
|
|
14.
|
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TYPE OF REPORTING PERSON
OO
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This Amendment No. 1 amends the Statement on Schedule 13D originally filed with the Securities and
Exchange Commission (the “Commission”) on October 8, 2015 (the “Statement”). The information set forth in response to each separate Item in the Statement shall be deemed to be a response to all Items where such information
is relevant.
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Item 5.
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Interest in Securities of the Issuer.
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Item 5 of the Statement is hereby deleted and replaced as follows:
(a) – (b) The Reporting Persons beneficially own, as of September 26, 2019, 0 shares of Common Stock.
(c) On September 26, 2019, the Reporting Persons sold in the open market an aggregate of 17,468,570 shares of Common Stock at a
price of $0.17 per share.
(e) The Reporting Persons ceased to beneficially own more than 5% of the shares of Common Stock on
September 26, 2019.
After reasonable inquiry and to the best of the undersigned’s knowledge and belief,
each of the undersigned certifies that the information set forth in this Statement is true, complete and correct.
Dated:
September 27, 2019
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GGC Public Equities Opportunities Investments, LLC
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By: GGC Public Equities Opportunities, L.P.
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Its: Member
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By: GGC Public Equities Opportunities Blocker Corporation, Ltd.
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Its: General Partner
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/s/ David C. Dominik
|
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By: David C. Dominik
|
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Its: Director
|
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GGC Public Equities Opportunities, L.P.
|
|
|
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By: GGC Public Equities Opportunities Blocker Corporation, Ltd.
|
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Its: General Partner
|
|
|
|
/s/ David C. Dominik
|
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By: David C. Dominik
|
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Its: Director
|
|
|
|
GGC Public Equities Opportunities Blocker Corporation, Ltd.
|
|
|
|
/s/ David C. Dominik
|
|
By: David C. Dominik
|
|
Its: Director
|
|
|
|
Golden Gate Capital Opportunity Fund, L.P.
|
|
Golden Gate Capital Opportunity Fund-A, L.P.
|
|
|
|
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By:
|
|
GGC Opportunity Fund Management, L.P.
|
|
Its:
|
|
General Partner
|
|
|
|
|
By:
|
|
GGC Opportunity Fund Management GP, Ltd.
|
|
Its:
|
|
General Partner
|
|
|
|
/s/ David C. Dominik
|
|
By:
|
|
David C. Dominik
|
|
Its:
|
|
Director
|
|
|
|
|
|
GGCOF Co-Invest, L.P.
|
|
|
|
|
By:
|
|
GGCOF Co-Invest Management, L.P.
|
|
Its:
|
|
General Partner
|
|
|
|
|
By:
|
|
GGC Opportunity Fund Management, L.P.
|
|
Its:
|
|
General Partner
|
|
|
|
|
By:
|
|
GGC Opportunity Fund Management GP, Ltd.
|
|
Its:
|
|
General Partner
|
|
|
|
/s/ David C. Dominik
|
|
By:
|
|
David C. Dominik
|
|
Its:
|
|
Director
|
|
|
|
GGC Co-Invest Management, L.P.
|
|
|
|
|
By:
|
|
GGC Opportunity Fund Management, L.P.
|
|
Its:
|
|
General Partner
|
|
|
|
|
By:
|
|
GGC Opportunity Fund Management GP, Ltd.
|
|
Its:
|
|
General Partner
|
|
|
|
/s/ David C. Dominik
|
|
By:
|
|
David C. Dominik
|
|
Its:
|
|
Director
|
|
|
|
|
|
GGC Opportunity Fund Management, L.P.
|
|
|
|
|
By:
|
|
GGC Opportunity Fund Management GP, Ltd.
|
|
Its:
|
|
General Partner
|
|
|
|
/s/ David C. Dominik
|
|
By:
|
|
David C. Dominik
|
|
Its:
|
|
Director
|
|
|
|
GGC Opportunity Fund Management GP, Ltd.
|
|
|
|
/s/ David C. Dominik
|
|
By:
|
|
David C. Dominik
|
|
Its:
|
|
Director
|
|
|
|
GGCOF Management, LLC
|
|
|
|
/s/ David C. Dominik
|
|
By:
|
|
David C. Dominik
|
|
Its:
|
|
Manager
|
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