Filing Details
- Accession Number:
- 0001101215-14-000060
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-03-05 16:00:46
- Reporting Period:
- 2014-03-04
- Filing Date:
- 2014-03-05
- Accepted Time:
- 2014-03-05 16:00:46
- 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 |
|---|---|---|---|---|---|---|---|
| 1454989 | J Bryan Kennedy | 7500 Dallas Parkway, Suite 700 Plano TX 75024 | Evp & President, Epsilon | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-03-04 | 15,000 | $43.20 | 130,731 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-03-04 | 15,000 | $283.88 | 115,731 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2014-03-04 | 15,000 | $0.00 | 15,000 | $43.20 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 12,596 | 2014-11-17 | No | 4 | M | Direct |
Footnotes
- Cashless exercise of employee stock options due to expire on November 17, 2014, ten years after such options were granted.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $283.41 to $284.10 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 range set forth herein.
- The total number of securities beneficially owned includes: (a) 89,956 unrestricted shares; (b) 1,108 unvested units from an award of 3,256 time-based restricted stock units granted 2/21/12; (c) 6,644 unvested units from an award of 19,537 performance-based restricted stock units granted 2/21/12; (d) 1,598 unvested units from an award of 2,384 time-based restricted stock units granted 2/21/13; (e) 8,916 unvested units from an award of 13,306 performance-based restricted stock units granted 2/21/13; (f) 1,501 unvested time-based restricted stock units granted 2/18/14; and (g) 6,008 unvested performance-based restricted stock units granted 2/18/14.
- This is an employee stock option grant that is fully vested.
- The total number of derivative securities beneficially owned includes: (a) an option for 7,724 shares granted 2/13/06, which is fully vested; and (b) an option for 4,872 shares granted 2/21/07, which is fully vested.
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