0001101215-17-000049.txt : 20170217
0001101215-17-000049.hdr.sgml : 20170217
20170217161508
ACCESSION NUMBER: 0001101215-17-000049
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170215
FILED AS OF DATE: 20170217
DATE AS OF CHANGE: 20170217
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: Pearson Bryan A
CENTRAL INDEX KEY: 0001376988
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-15749
FILM NUMBER: 17621526
MAIL ADDRESS:
STREET 1: 17655 WATERVIEW PARKWAY
CITY: DALLAS
STATE: TX
ZIP: 75252
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2017-02-15
0001101215
ALLIANCE DATA SYSTEMS CORP
ADS
0001376988
Pearson Bryan A
7500 DALLAS PARKWAY, SUITE 700
PLANO
TX
75024
0
1
0
0
EVP & President, LoyaltyOne
Common Stock
2017-02-15
4
A
0
1992
A
19386
D
Common Stock
2017-02-15
4
A
0
3985
A
23371
D
Common Stock
2017-02-15
4
A
0
3985
A
27356
D
Common Stock
2017-02-15
4
A
0
2172
A
29528
D
Common Stock
2017-02-16
4
F
0
900
230.95
D
24564
D
Common Stock
85942
I
By 2456779 Ontario Inc.
The new grant is for 1,992 shares of common stock represented by time-based restricted stock units. The restrictions will lapse on 657 units on each of 2/15/18 and 2/15/19 and on 678 units on 2/18/20, subject to continued employment by the Reporting Person on the vesting dates.
The new grant is for 3,985 shares of common stock represented by performance-based restricted stock units, which may be adjusted up or down upon assessment of the EBT performance metric for 2017. Following any such adjustment, restrictions will lapse with respect to 33% of such shares on each of 2/15/18 and 2/15/19 and with respect to 34% of such shares on 2/18/20, subject to continued employment by the Reporting Person on the vesting dates.
The new grant is for 3,985 shares of common stock represented by performance-based restricted stock units, which may be adjusted up or down upon assessment of the relative Total Shareholder Return performance metric for 2017-2018. Following any such adjustment, restrictions will lapse with respect to 100% of such shares on 2/15/19, subject to continued employment by the Reporting Person on the vesting date.
The new grant is for 2,172 shares of common stock represented by performance-based restricted stock units, which may be adjusted up or down upon assessment of the core earnings per share performance metric for 2017. Following any such adjustment, restrictions will lapse with respect to 50% of such shares on each of 2/15/18 and 2/15/19, 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 total number of securities beneficially owned includes: (a) 780 unrestricted shares; (b) 519 unvested units from an award of 1,525 time-based restricted stock units granted 2/18/14; (c) 2,811 unvested units from an award of 8,267 performance-based restricted stock units granted 2/18/14; (d) 982 unvested units from an award of 1,465 time-based restricted stock units granted 2/17/15; (e) 3,929 unvested units from an award of 5,864 performance-based restricted stock units granted 2/17/15; (f) 1,226 unvested units from an award of 1,830 time-based restricted stock units granted 2/16/16; (g) 2,183 unvested units from an award of 3,259 performance-based restricted stock units granted 2/16/16; (h) the new grant for 1,992 time-based restricted stock units; (i) the new grant for 3,985 performance-based restricted stock units; (j) the new grant for 3,985 performance-based restricted stock units; and (k) the new grant for 2,172 performance-based restricted stock units.
The compensation committee's assessment of EBT performance for 2016 resulted in 89% payout; however, the compensation committee exercised its discretion to reduce the amount earned to 44.5% of the original award of 7,323 performance-based restricted stock units granted 2/16/16, or 3,259 units. The restrictions will lapse with respect to 1,076 units on 2/16/18 and with respect to 1,107 units on 2/19/19, subject to continued employment by the Reporting Person on the remaining vesting dates.
The shares are held by 2456779 Ontario Inc., an Ontario, Canada corporation, of which the reporting person is the sole shareholder.
Cynthia L. Hageman, Attorney in Fact
2017-02-17