0001101215-20-000034.txt : 20200220 0001101215-20-000034.hdr.sgml : 20200220 20200220171630 ACCESSION NUMBER: 0001101215-20-000034 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200218 FILED AS OF DATE: 20200220 DATE AS OF CHANGE: 20200220 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Andretta Ralph J CENTRAL INDEX KEY: 0001801850 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15749 FILM NUMBER: 20636332 MAIL ADDRESS: STREET 1: 7500 DALLAS PARKWAY, SUITE 700 CITY: PLANO STATE: TX ZIP: 75024 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: 3075 LOYALTY CIRCLE CITY: COLUMBUS STATE: OH ZIP: 43219 BUSINESS PHONE: 6147294000 MAIL ADDRESS: STREET 1: 3075 LOYALTY CIRCLE CITY: COLUMBUS STATE: OH ZIP: 43219 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2020-02-18 0001101215 ALLIANCE DATA SYSTEMS CORP ADS 0001801850 Andretta Ralph J 3075 LOYALTY CIRCLE COLUMBUS OH 43219 1 1 0 0 President and CEO Common Stock 2020-02-18 4 A 0 6827 A 6827 D Common Stock 2020-02-18 4 A 0 6165 A 12992 D Common Stock 2020-02-18 4 A 0 15207 A 28199 D Common Stock 2020-02-18 4 A 0 12288 A 40487 D Common Stock 2020-02-18 4 A 0 2731 A 43218 D Common Stock 2020-02-18 4 A 0 12289 A 55507 D The new grant is for 6,827 shares of common stock represented by time-based restricted stock units. The restrictions will lapse on 2,252 units on 2/18/21, on 2,253 units on 2/18/22 and on 2,322 units on 2/18/23, subject to continued employment by the Reporting Person on the vesting dates. The new grant is for 6,165 shares of common stock represented by time-based restricted stock units. The restrictions will lapse on 2,034 units on each of 2/18/21 and 2/18/22 and on 2,097 units on 2/18/23, subject to continued employment by the Reporting Person on the vesting dates. The new grant is for 15,207 shares of common stock represented by time-based restricted stock units. The restrictions will lapse on 7,603 units on 2/18/21 and on 7,604 units on 2/18/22, subject to continued employment by the Reporting Person on the vesting dates. The new grant is for 12,288 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 2,731 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. The new grant is for 12,289 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. The total number of securities beneficially owned includes: (a) the new grant for 6,827 time-based restricted stock units; (b) the new grant for 6,165 time-based restricted stock units; (c) the new grant for 15,207 time-based restricted stock units; (d) the new grant for 12,288 performance-based restricted stock units; (e) the new grant for 2,731 performance-based restricted stock units; and (f) the new grant for 12,289 performance-based restricted stock units. Cynthia L. Hageman, Attorney in Fact 2020-02-20