0001101215-16-000480.txt : 20161122
0001101215-16-000480.hdr.sgml : 20161122
20161122160716
ACCESSION NUMBER: 0001101215-16-000480
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161118
FILED AS OF DATE: 20161122
DATE AS OF CHANGE: 20161122
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ALLIANCE DATA SYSTEMS CORP
CENTRAL INDEX KEY: 0001101215
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389]
IRS NUMBER: 311429215
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 7500 DALLAS PARKWAY, SUITE 700
CITY: PLANO
STATE: TX
ZIP: 75024
BUSINESS PHONE: 2144943000
MAIL ADDRESS:
STREET 1: 7500 DALLAS PARKWAY, SUITE 700
CITY: PLANO
STATE: TX
ZIP: 75024
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HEFFERNAN EDWARD J
CENTRAL INDEX KEY: 0001158371
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-15749
FILM NUMBER: 162013282
MAIL ADDRESS:
STREET 1: 17655 WATERVIEW PARKWAY
CITY: DALLAS
STATE: TX
ZIP: 75252
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2016-11-18
0001101215
ALLIANCE DATA SYSTEMS CORP
ADS
0001158371
HEFFERNAN EDWARD J
7500 DALLAS PARKWAY, SUITE 700
PLANO
TX
75024
1
1
0
0
President and CEO
Common Stock
2016-11-18
4
M
0
15223
63.35
A
250651
D
Common Stock
2016-11-18
4
S
0
3205
216.828
D
247446
D
Common Stock
2016-11-18
4
S
0
12018
217.883
D
235428
D
Employee Stock Option (Right to Buy)
63.35
2016-11-18
4
M
0
15223
D
2017-02-21
Common Stock
15223
0
D
Cashless exercise of employee stock options due to expire on February 21, 2017, ten years after such options were granted.
The transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on October 24, 2016.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $216.54 to $217.31, 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 (3) and (4) 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 $217.76 to $218.60, inclusive.
The total number of securities beneficially owned includes: (a) 189,329 unrestricted shares; (b) 1,276 unvested units from an award of 3,751 time-based restricted stock units granted 2/18/14; (c) 6,914 unvested units from an award of 20,333 performance-based restricted stock units granted 2/18/14; (d) 2,556 unvested units from an award of 3,814 time-based restricted stock units granted 2/17/15; (e) 10,223 unvested units from an award of 15,257 performance-based restricted stock units granted 2/17/15; (f) 5,026 unvested time-based restricted stock units granted 2/16/16; and (g) 20,104 unvested performance-based restricted stock units granted 2/16/16.
This is an employee stock option grant that is fully vested.
Cynthia L. Hageman, Attorney in Fact
2016-11-22
EX-24
2
heffernan.txt
REVOCATION AND APPOINTMENT OF POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby revokes and rescinds
the Power of Attorney dated February 17, 2011, which appointed Leigh Ann K.
Epperson and Cynthia L. Hageman as attorneys-in-fact, for purposes of
completing, executing and filing any applicable Forms 3, 4, 5 or 144 as
further set out in that Power of Attorney.
Know all by these presents, that the undersigned hereby constitutes and
appoints Cynthia L. Hageman and Kristen Rafael-Githens as the undersigned's
true and lawful attorney-in-fact to:
(1) execute for and on behalf of the undersigned, in the undersigned's
capacity as an officer and/or director of Alliance Data Systems Corporation
(the "Company"), any filing in connection with the undersigned's holdings
of or transactions in securities issued by the Company, including but not
limited to, Forms 3, 4 or 5 in accordance with Section 16(a) of the
Securities Exchange Act of 1934, as amended, and the rules thereunder, or
Form 144 in accordance with Rule 144 of the Securities Act of 1933, as
amended, and the rules thereunder;
(2) do and perform any and all acts for and on behalf of the undersigned
which may be necessary or desirable to complete and execute any such Form,
including but not limited to, Forms 3, 4, 5 or 144, and timely file such
form with the United States Securities and Exchange Commission and any
stock exchange or similar authority; and
(3) take any other action of any type whatsoever in connection with the
foregoing which, in the opinion of such attorney-in-fact, may be of benefit
to, in the best interest of, or legally required by, the undersigned, it
being understood that the documents executed by such attorney-in-fact on
behalf of the undersigned pursuant to this power of attorney shall be in
such form and shall contain such terms and conditions as such
attorney-in-fact may approve in such attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and
powers herein granted, as fully to all intents and purposes as the
undersigned might or could do if personally present, with full power of
substitution or revocation, hereby ratifying and confirming all that such
attorney-in-fact, or such attorney-in-fact's substitute or substitutes,
shall lawfully do or cause to be done by virtue of this power of attorney
and the rights and powers herein granted. The undersigned acknowledges
that the foregoing attorneys-in-fact, in serving in such capacity at the
request of the undersigned, are not assuming, nor is the Company assuming,
any of the undersigned's responsibilities to comply with the Securities
Exchange Act of 1934, as amended, or the Securities Act of 1933, as amended.
This power of attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4, 5, or 144, or any
other form with respect to the undersigned's holdings of and transactions
in securities issued by the Company, unless earlier revoked by the
undersigned in a signed writing delivered to the foregoing
attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this power of attorney
to be executed as of this 8th day of June, 2016.
/s/ Edward J. Heffernan
Printed Name: Edward J. Heffernan