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