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ASNA > SEC Filings for ASNA > Form 8-K on 3-Jul-2014All Recent SEC Filings

Show all filings for ASCENA RETAIL GROUP, INC.

Form 8-K for ASCENA RETAIL GROUP, INC.


3-Jul-2014

Temporary Suspension of Trading Under Registrant's Employee Benefit Pla


Item 5.04. Temporary Suspension of Trading Under Registrant's Employee Benefit Plan.

On July 3, 2014, Ascena Retail Group, Inc. (the "Company") sent a notice to its directors and executive officers informing them of a blackout period beginning on July 28, 2014 at 4:00 p.m. Eastern time, and ending during the week of August 10, 2014 (the "Blackout Period") that will temporarily prevent participants in The Ascena Retail Group, Inc. 401(k) Savings Plan (the "Plan") from engaging in transactions in their individual accounts. During the Blackout Period, participants in the Plan generally will be unable to direct or diversify investments in their individual accounts, change elections regarding future contributions, change contribution rates or obtain a loan, distribution or withdrawal from the Plan. The Blackout Period is imposed in connection with the change of the recordkeeper and trustee of the Plan.

Pursuant to Rule 104 of Regulation BTR promulgated under the Securities Exchange Act of 1934 and Section 306 of the Sarbanes-Oxley Act of 2002, each director and executive officer of the Company is prohibited from, directly or indirectly, purchasing, selling or otherwise acquiring or transferring any equity or derivative security of the Company during the Blackout Period.

The Company received the notice required by Section 101(i)(2)(E) of the Employee Retirement Income Security Act of 1974 on June 27, 2014.

Participants in the Plan, security holders of Company common stock or other interested persons may obtain information about the actual beginning and ending dates of the Blackout Period, without charge, by contacting either Isabella Spiegel, Vice President, Corporate Benefits, at 551-777-6910, or Gene Wexler, Esq., Senior Vice President, General Counsel, at 551-777-6751.

A copy of the notice transmitted to the directors and executive officers of the Company is set forth in Exhibit 99.1 hereto and is incorporated by reference into this Item.



Item 9.01 Financial Statements and Exhibits

(d) Exhibits

Exhibit No.   Description

99.1          Notice of 401(k) Plan Blackout Period to directors and executive
              officers dated July 3, 2014

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