Statement of Changes in Beneficial Ownership (4)
2021年12月8日 - 6:14AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Mennen Claudia |
2. Issuer Name and Ticker or Trading Symbol
Loyalty Ventures Inc.
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LYLT
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) BrandLoyalty CEO |
(Last)
(First)
(Middle)
7500 DALLAS PARKWAY, SUITE 700 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/7/2021 |
(Street)
PLANO, TX 75024
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 12/7/2021 | | A(1) | | 6347 | A | (1) | 6621 (2) | D | |
Common Stock | 12/7/2021 | | A(3) | | 10580 | A | (3) | 17201 (4) | 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. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The award for 6,347 shares of common stock represented by time-based restricted stock units is a replacement for equity forfeited by Alliance Data Systems Corporation at the time of the spinoff as provided in the Employee Matters Agreement. The restrictions will lapse on all 6,347 units on 2/16/2024, subject to continued employment by the Reporting Person with the Issuer on the vesting date. |
(2) | The total number of securities beneficially owned includes 274 unrestricted shares resulting from the spinoff distribution by Alliance Data Systems Corporation on November 5, 2021. |
(3) | The award for 10,580 shares of common stock represented by time-based restricted stock units is a replacement for equity forfeited by Alliance Data Systems Corporation at the time of the spinoff as provided in the Employee Matters Agreement. The restrictions will lapse on 3,490 units on 2/16/2022, on 3,492 units on 2/16/2023 and on 3,598 units on 2/16/2024, subject to continued employment by the Reporting Person with the Issuer on the vesting date. |
(4) | The total number of securities beneficially owned includes: (a) 274 unrestricted shares; (b) the replacement grant for 6,347 time-based restricted stock units; and (c) the replacement grant for 10,580 time-based restricted stock units. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Mennen Claudia 7500 DALLAS PARKWAY, SUITE 700 PLANO, TX 75024 |
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| BrandLoyalty CEO |
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Signatures
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Cynthia L. Hageman, Attorney in Fact | | 12/7/2021 |
**Signature of Reporting Person | Date |
Loyalty Ventures (NASDAQ:LYLT)
過去 株価チャート
から 6 2024 まで 7 2024
Loyalty Ventures (NASDAQ:LYLT)
過去 株価チャート
から 7 2023 まで 7 2024
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