0001062993-21-013153.txt : 20211217 0001062993-21-013153.hdr.sgml : 20211217 20211217161231 ACCESSION NUMBER: 0001062993-21-013153 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211215 FILED AS OF DATE: 20211217 DATE AS OF CHANGE: 20211217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gerspach John C CENTRAL INDEX KEY: 0001321140 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15749 FILM NUMBER: 211501684 MAIL ADDRESS: STREET 1: C/O CORPORATE LAW DEP'T, CITIGOUP INC. STREET 2: 388 GREENWICH STREET, 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10013 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: 3095 LOYALTY CIRCLE CITY: COLUMBUS STATE: OH ZIP: 43219 BUSINESS PHONE: 6147294000 MAIL ADDRESS: STREET 1: 3095 LOYALTY CIRCLE CITY: COLUMBUS STATE: OH ZIP: 43219 4 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0306 4 2021-12-15 0001101215 ALLIANCE DATA SYSTEMS CORP ADS 0001321140 Gerspach John C 3095 LOYALTY CIRCLE COLUMBUS OH 43219 1 0 0 0 Common Stock 2021-12-15 4 A 0 474 A 14127 D Common Stock 6000 I By Gerspach 2020 GST Exempt Trust The new grant is for 474 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 12/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than December 15, 2022. In connection with the spin-off of Loyalty Ventures Inc. by the Issuer, outstanding unvested restricted stock units ("RSUs"), including RSUs previously granted to the Reporting Person, were subject to anti-dilution adjustments ("Anti-Dilution Adjustment"). To the extent that the outstanding RSUs granted to the Reporting Person were previously reported under Table I, the total number of shares reported include the additional RSUs held by the Reporting Person as a result of the Anti-Dilution Adjustment. The outstanding RSUs will continue to vest pursuant to the original vesting schedule for each grant. The total amount of securities beneficially owned includes: (a) 5,000 unrestricted shares; (b) 5,981 unvested restricted stock units granted 6/22/20; (c) 2,241 unvested restricted stock units granted 6/15/21; (d) 431 unvested restricted stock units granted 9/15/21; and (e) the new grant for 474 restricted stock units. The shares are held by the Gerspach 2020 GST Exempt Trust, for which the Reporting Person's spouse serves as trustee. Benjamin L. Morgan, Attorney in Fact 2021-12-17