Filing Details
- Accession Number:
- 0001101215-16-000482
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-23 16:04:14
- Reporting Period:
- 2016-11-22
- Filing Date:
- 2016-11-23
- Accepted Time:
- 2016-11-23 16:04:14
- 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 |
|---|---|---|---|---|---|---|---|
| 1376988 | A Bryan Pearson | 7500 Dallas Parkway, Suite 700 Plano TX 75024 | Evp & President, Loyaltyone | 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 | 2016-11-22 | 4,628 | $63.35 | 22,022 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-22 | 4,428 | $231.63 | 17,594 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-11-22 | 200 | $232.06 | 17,394 | 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 | 2016-11-22 | 4,628 | $0.00 | 4,628 | $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 | 85,942 | Indirect | By 2456779 Ontario Inc. |
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 $231.00 to $231.99, 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 $232.04 to $232.07, inclusive.
- The total number of securities beneficially owned includes: (a) 519 unvested units from an award of 1,525 time-based restricted stock units granted 2/18/14; (b) 2,811 unvested units from an award of 8,267 performance-based restricted stock units granted 2/18/14; (c) 982 unvested units from an award of 1,465 time-based restricted stock units granted 2/17/15; (d) 3,929 unvested units from an award of 5,864 performance-based restricted stock units granted 2/17/15; (e) 1,830 unvested time-based restricted stock units granted 2/16/16; and (f) 7,323 unvested performance-based restricted stock units granted 2/16/16.
- The shares are held by 2456779 Ontario Inc., an Ontario, Canada corporation, of which the reporting person is the sole shareholder.
- This is an employee stock option grant that is fully vested.
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