Initial Statement of Beneficial Ownership (3)
August 31 2017 - 12:27PM
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
Estimated average burden
hours per response...
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
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2. Date of Event Requiring Statement (MM/DD/YYYY)
8/25/2017
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3. Issuer Name
and
Ticker or Trading Symbol
Ascena Retail Group, Inc. [ASNA]
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(Last)
(First)
(Middle)
C/O ASCENA RETAIL GROUP, INC., 933 MACARTHUR BOULEVARD
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Int. Principal Acct. Officer /
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(Street)
MAHWAH, NJ 07430
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common
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5469
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D
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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)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Units
(1)
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(2)
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(2)
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Common
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169
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(3)
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D
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Restricted Stock Units
(1)
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(4)
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(4)
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Common
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335
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(3)
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D
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Restricted Stock Units
(1)
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(5)
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(5)
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Common
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836
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(3)
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D
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Restricted Stock Units
(6)
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(7)
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(7)
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Common
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2414
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(3)
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D
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Option To Buy
(1)
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6/19/2014
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6/19/2020
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Common
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2500
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$17.67
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D
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Option To Buy
(1)
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9/25/2014
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9/25/2020
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Common
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2000
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$19.91
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D
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Option To Buy
(1)
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9/23/2015
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9/23/2021
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Common
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2000
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$14.12
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D
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Option To Buy
(1)
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9/29/2016
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9/29/2022
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Common
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3702
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$13.48
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D
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Option To Buy
(6)
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9/21/2017
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9/21/2023
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Common
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7396
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$5.56
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D
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Explanation of Responses:
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(1)
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Granted under the Company's 2010 Incentive Stock Plan.
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(2)
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On Septemnber 25, 2013, the reporting person was granted 667 restricted stock units, vesting in four annual installments beginning on the first anniversary of the grant date.
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(3)
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Restricted stock units convert into common stock on a one-for-one basis.
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(4)
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On Septmber 23, 2014, the reporting person was granted 667 restricted stock units, vesting in four annual installments begininng on the first anniversary of the grant date.
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(5)
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On September 29, 2015, the reporing person was granted 1,253 restricted stock units, vesting in three annual installments begininng on the first anniversary of the grant date.
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(6)
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Granted under the Company's 2016 Omnibus Incentive Plan.
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(7)
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On September 21, 2016, the reporting person was granted 2,414 restricted stock units, vesting in three annual installments begininng on the first anniversary of the grant date.
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Remarks:
EXHIBIT LIST: EX-24: Power of Attorney Kevin Trolaro
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Trolaro Kevin Michael
C/O ASCENA RETAIL GROUP, INC.
933 MACARTHUR BOULEVARD
MAHWAH, NJ 07430
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Int. Principal Acct. Officer
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Signatures
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Mary Beth Riley, Power of Attorney
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8/31/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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