Filing Details
- Accession Number:
- 0001101215-16-000481
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-23 16:02:35
- Reporting Period:
- 2016-11-21
- Filing Date:
- 2016-11-23
- Accepted Time:
- 2016-11-23 16:02:35
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1101215 | Alliance Data Systems Corp | ADS | Services-Business Services, Nec (7389) | 311429215 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1454989 | J Bryan Kennedy | 7500 Dallas Parkway, Suite 700 Plano TX 75024 | Evp & President, Epsilon | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2016-11-21 | 4,872 | $63.35 | 127,533 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-21 | 4,872 | $225.96 | 122,661 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-11-21 | 6,000 | $225.88 | 116,661 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2016-11-21 | 4,872 | $0.00 | 4,872 | $63.35 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2017-02-21 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 600 | Indirect | By Norma Kay Kennedy Living Trust |
Footnotes
- Cashless exercise of employee stock options due to expire on February 21, 2017, ten years after such options were granted.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $225.93 to $226.00, inclusive. The reporting person undertakes to provide to Alliance Data Systems Corporation, any security holder of Alliance Data Systems Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) and (3) to this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $225.85 to $225.90, inclusive.
- The total number of securities beneficially owned includes: (a) 99,855 unrestricted shares; (b) 511 unvested units from an award of 1,501 time-based restricted stock units granted 2/18/14; (c) 2,768 unvested units from an award of 8,141 performance-based restricted stock units granted 2/18/14; (d) 936 unvested units from an award of 1,396 time-based restricted stock units granted 2/17/15; (e) 3,742 unvested units from an award of 5,584 performance-based restricted stock units granted 2/17/15; (f) 1,769 unvested time-based restricted stock units granted 2/16/16; and (g) 7,080 unvested performance-based restricted stock units granted 2/16/16.
- The shares are held in the Norma Kay Kennedy Living Trust for the benefit of the Reporting Person's mother. The Reporting Person serves as trustee.
- This is an employee stock option grant that is fully vested.
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