Initial Statement of Beneficial Ownership (3)
21 February 2020 - 9:22AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Chesnut John Jeffrey |
2. Date of Event Requiring Statement (MM/DD/YYYY)
2/13/2020
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3. Issuer Name and Ticker or Trading Symbol
ALLIANCE DATA SYSTEMS CORP [ADS]
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(Last)
(First)
(Middle)
7500 DALLAS PARKWAY, SUITE 700 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) SVP and Treasurer / |
(Street)
PLANO, TX 75024
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 9160.678 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The total number of securities beneficially owned includes: (a) 3,708.678 unrestricted shares; (b) 126 unvested units from an award of 369 time-based restricted stock units granted 2/15/17, which are scheduled to vest on 2/18/20; (c) 349 unvested units from an award of 1,029 performance-based restricted stock units granted 2/15/17, which are scheduled to vest on 2/18/20; (d) 304 unvested units from an award of 453 time-based restricted stock units granted 2/15/18, of which 149 units will vest on 2/18/20 and 155 units will vest on 2/16/21; (e) 922 unvested units from an award of 1,377 performance-based restricted stock units granted 2/15/18, of which 455 units will vest on 2/18/20 and 467 units will vest on 2/16/21; (f) 169 unvested units from an award of 251 time-based restricted stock units granted 12/17/18, of which 83 units will vest on 12/17/20 and 86 units will vest on 12/17/21; (continued below) |
Remarks: (1) continued from above: (g) 716 unvested time-based restricted stock units granted 2/15/19, of which 236 units will vest on each of 2/18/20 and 2/16/21 and 244 units will vest on 2/15/22; and (h) 2,866 unvested performance-based restricted stock units granted 2/15/19, 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Chesnut John Jeffrey 7500 DALLAS PARKWAY, SUITE 700 PLANO, TX 75024 |
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| SVP and Treasurer |
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Signatures
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Cynthia L. Hageman, Attorney in Fact | | 2/20/2020 |
**Signature of Reporting Person | Date |
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