Initial Statement of Beneficial Ownership (3)
12 Agosto 2020 - 11:38PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Trolaro Kevin Michael |
2. Date of Event Requiring Statement (MM/DD/YYYY)
8/3/2020
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3. Issuer Name and Ticker or Trading Symbol
Ascena Retail Group, Inc. [ASNAQ]
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(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
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Table I - Non-Derivative Securities Beneficially Owned
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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)
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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
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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 |
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| VP, Chief Accounting Officer |
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Signatures
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Gary Holland, Power of Attorney | | 8/12/2020 |
**Signature of Reporting Person | Date |
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