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Filing Details

Accession Number:: 0001101215-20-000036
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-02-20 17:18:36
Reporting Period:: 2020-02-18

Accepted Time:: 2020-02-20 17:18:36
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
1779102	P Timothy King	3075 Loyalty Circle Columbus OH 43219	Evp & Chief Financial Officer	No	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2020-02-18	1,931	$0.00	13,219	No	4	A	Direct
Common Stock	Acquisiton	2020-02-18	2,414	$0.00	15,633	No	4	A	Direct
Common Stock	Acquisiton	2020-02-18	4,344	$0.00	19,977	No	4	A	Direct
Common Stock	Acquisiton	2020-02-18	965	$0.00	20,942	No	4	A	Direct
Common Stock	Disposition	2020-02-18	704	$100.85	20,238	No	4	F	Direct
Common Stock	Disposition	2020-02-18	1,232	$100.95	19,006	No	4	S	Direct
Common Stock	Disposition	2020-02-19	1,522	$100.91	13,281	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	A	Direct
No	4	A	Direct
No	4	A	Direct
No	4	A	Direct
No	4	F	Direct
No	4	S	Direct
No	4	S	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	2,608	Indirect	By 401(k) Plan

Footnotes

The new grant is for 1,931 shares of common stock represented by time-based restricted stock units. The restrictions will lapse on 637 units on each of 2/18/21 and 2/18/22 and on 657 units on 2/18/23, subject to continued employment by the Reporting Person on the vesting dates.
The new grant is for 2,414 shares of common stock represented by performance-based restricted stock units, which may be adjusted up or down at the time the performance restriction lapses. The restriction may lapse with respect to 33% of such shares on each of 2/18/21 and 2/18/22 and with respect to 34% of such shares on 2/18/23 contingent on meeting an EBT metric for 2020 and subject to continued employment by the Reporting Person on the vesting dates.
The new grant is for 4,344 shares of common stock represented by performance-based restricted stock units, which may be adjusted up or down at the time the performance restriction lapses. The restriction may lapse with respect to 100% of such shares on 2/18/22 contingent on meeting a relative total shareholder return metric for 2020 and 2021 and subject to continued employment by the Reporting Person on the vesting dates.
The new grant is for 965 shares of common stock represented by performance-based restricted stock units, which may be adjusted down at the time the performance restriction lapses. The restriction may lapse with respect to 33% of such shares on each of 2/18/21 and 2/18/22 and with respect to 34% of such shares on 2/18/23 contingent on meeting strategic and operational objectives performance metrics for 2020 and subject to continued employment by the Reporting Person on the vesting dates.
Shares withheld by the Company to satisfy the Reporting Person's tax withholding obligation upon the vesting of restricted stock units.
The transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 5, 2019.
The total number of securities beneficially owned includes: (a) 94.1931 unrestricted shares; (b) 241 unvested units from an award of 708 time-based restricted stock units granted 2/15/18; (c) 730 unvested units from an award of 2,147 performance-based restricted stock units granted 2/15/18; (d) 719 unvested time-based restricted stock units granted 2/15/19; (e) 1,843 unvested time-based restricted stock units granted 12/16/19; (f) the new grant for 1,931 time-based restricted stock units; (g) the new grant for 2,414 performance-based restricted stock units; (h) the new grant for 4,344 performance-based restricted stock units; and (i) the new grant for 965 performance-based restricted stock units.
The grant for 4,296 performance-based restricted stock units awarded on 2/15/19 was forfeited due to failure to meet the EBT performance metric for 2019.
Includes 93.3538 shares acquired under the Alliance Data Systems Corporation 2015 Employee Stock Purchase Plan on December 31, 2019.
Includes 14.876 shares acquired under Alliance Data's 401(k) plan since the date of the Reporting Person's last ownership report. The information in this report is based on a plan statement dated as of December 31, 2019.