Initial Statement of Beneficial Ownership (3)
August 12 2020 - 5:38PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
|
1. Name and Address of Reporting Person
*
Trolaro Kevin Michael |
2. Date of Event Requiring Statement (MM/DD/YYYY)
8/3/2020
|
3. Issuer Name and Ticker or Trading Symbol
Ascena Retail Group, Inc. [ASNAQ]
|
|
(Last)
(First)
(Middle)
C/O ASCENA RETAIL GROUP, INC., 933 MACARTHUR BOULEVARD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
VP, Chief Accounting Officer / |
|
(Street)
MAHWAH, NJ 07430
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Beneficially Owned
|
1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Common | 398.90 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Option To Buy (1)(2) | (3) | 9/25/2020 | Common | 100.0 | $398.2 | D | |
| Option To Buy (1)(2) | (4) | 9/23/2021 | Common | 100.0 | $282.4 | D | |
| Option To Buy (1)(2) | (5) | 9/29/2022 | Common | 185.0 | $269.6 | D | |
| Option To Buy (2)(6) | (7) | 9/21/2023 | Common | 369.0 | $111.2 | D | |
| Option To Buy (2)(6) | (8) | 9/27/2024 | Common | 643.0 | $47.4 | D | |
| Option To Buy (2)(6) | (9) | 10/3/2025 | Common | 258.0 | $78.4 | D | |
| Option To Buy (2)(6) | (10) | 10/2/2026 | Common | 1250.0 | $5.2 | D | |
| Explanation of Responses: |
| (1) | Granted under the Company's 2010 Stock Incentive Plan. |
| (2) | Reflects Ascena Retail Group, Inc.'s Twenty-for-One Reverse Stock Split. |
| (3) | On September 25, 2013, the reporting person was granted 100 non-qualified stock options, vesting in three annual installments beginning on the first anniversary of the grant date. |
| (4) | On September 23, 2014, the reporting person was granted 100 non-qualified stock options, vesting in three annual installments beginning on the first anniversary of the grant date. |
| (5) | On September 29, 2015, the reporting person was granted 185 non-qualified stock options, vesting in three annual installments beginning on the first anniversary of the grant date. |
| (6) | Granted under the Company's 2016 Omnibus Incentive Plan, as amended. |
| (7) | On September 21, 2016, the reporting person was granted 369 non-qualified stock options, vesting in three annual installments beginning on the first anniversary of the grant date. |
| (8) | On September 27, 2017, the reporting person was granted 643 non-qualified stock options, vesting in two annual installments beginning on the first anniversary of the grant date. |
| (9) | On October 3, 2018, the reporting person was granted 258 non-qualified stock options, vesting in two annual installments beginning on the first anniversary of the grant date. |
| (10) | On October 2, 2019, the reporting person was granted 1,250 non-qualified stock options, vesting in two annual installments beginning on the first anniversary of the grant date. |
Remarks:
EXHIBIT LIST: EX-24: Power of Attorney Kevin Michael Trolaro |
Reporting Owners
|
| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Trolaro Kevin Michael
C/O ASCENA RETAIL GROUP, INC.
933 MACARTHUR BOULEVARD
MAHWAH, NJ 07430 |
|
| VP, Chief Accounting Officer |
|
Signatures
|
| Gary Holland, Power of Attorney | | 8/12/2020 |
| **Signature of Reporting Person | Date |
Ascena Retail (NASDAQ:ASNA)
Historical Stock Chart
From Mar 2024 to Apr 2024
Ascena Retail (NASDAQ:ASNA)
Historical Stock Chart
From Apr 2023 to Apr 2024
