0001101215-19-000034.txt : 20190220 0001101215-19-000034.hdr.sgml : 20190220 20190220160538 ACCESSION NUMBER: 0001101215-19-000034 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190215 FILED AS OF DATE: 20190220 DATE AS OF CHANGE: 20190220 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: 19618269 MAIL ADDRESS: STREET 1: 17655 WATERVIEW PARKWAY CITY: DALLAS STATE: TX ZIP: 75252 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 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2019-02-15 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 2019-02-15 4 A 0 8968 A 237333 D Common Stock 2019-02-15 4 A 0 17937 A 255270 D Common Stock 2019-02-15 4 A 0 17937 A 273207 D Common Stock 2019-02-15 4 F 0 5428 171.22 D 267779 D Common Stock 2019-02-19 4 F 0 1870 174.28 D 251893 D The new grant is for 8,968 shares of common stock represented by time-based restricted stock units. The restrictions will lapse on 2,959 units on each of 2/18/20 and 2/16/21 and on 3,050 units on 2/15/22, subject to continued employment by the Reporting Person on the vesting dates. The new grant is for 17,937 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 2/18/20 and 2/16/21 and with respect to 34% of such shares on 2/15/22 contingent on meeting an EBT metric for 2019 and subject to continued employment by the Reporting Person on the vesting dates. The new grant is for 17,937 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 2/16/21 contingent on meeting a relative total shareholder return metric for 2019 and 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 total number of securities beneficially owned includes: (a) 180,718 unrestricted shares; (b) 1,897 unvested units from an award of 5,578 time-based restricted stock units granted 2/15/17; (c) 2,644 unvested units from an award of 7,776 performance-based restricted stock units granted 2/15/17; (d) 3,962 unvested units from an award of 5,912 time-based restricted stock units granted 2/15/18; (e) 6,006 unvested units from an award of 8,963 performance-based restricted stock units granted 2/15/18; (f) 11,824 unvested performance-based restricted stock units granted 2/15/18; (g) the new grant for 8,968 time-based restricted stock units; (h) the new grant for 17,937 performance-based restricted stock units; and (i) the new grant for 17,937 performance-based restricted stock units. Based on the Company's EBT performance in 2018, 75.8% of the original award of 11,824 performance-based restricted stock units granted 2/15/18, or 8,963 units, were earned. The restrictions will lapse with respect to 2,958 units on 2/18/20 and with respect to 3,048 units on 2/16/21, subject to continued employment by the Reporting Person on the remaining vesting dates. The grant for 11,155 performance-based restricted stock units awarded on 2/15/17 was forfeited due to failure to meet the relative total shareholder return metric for 2017 and 2018. Cynthia L. Hageman, Attorney in Fact 2019-02-20