Statement of Changes in Beneficial Ownership (4)
09 Agosto 2022 - 10:53PM
Edgar (US Regulatory)
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FORM 4
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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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 * BALLOU ROGER H |
2. Issuer Name and Ticker or Trading
Symbol BREAD FINANCIAL HOLDINGS, INC. [ BFH ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
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(Last)
(First)
(Middle)
3095 LOYALTY CIRCLE |
3. Date of Earliest Transaction (MM/DD/YYYY)
8/8/2022
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|
(Street)
COLUMBUS, OH 43219
(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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
Amount |
(A) or (D) |
Price |
|
Common Stock |
8/8/2022 |
|
P |
|
2550 |
A |
$39.1131 (1) |
27510 (2) |
D |
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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 price reported in Column
4 is a weighted average price. These shares were purchased in
multiple transactions at prices ranging from $39.05 to $39.18,
inclusive. The reporting person undertakes to provide to Bread
Financial Holdings, Inc., any security holder of Bread Financial
Holdings, Inc., or the staff of the Securities and Exchange
Commission, upon request, full information regarding the number of
shares purchased at each separate price within the range set forth
herein. |
| (2) |
The total amount of
securities beneficially owned includes: (a) 14,948 unrestricted
shares; (b) 789 unvested restricted stock units granted 7/1/13; (c)
568 unvested restricted stock units granted 7/1/14; (d) 486
unvested restricted stock units granted 6/29/15; (e) 699 unvested
restricted stock units granted 6/27/16; (f) 655 unvested restricted
stock units granted 6/26/17; (g) 761 unvested restricted stock
units granted 6/25/18; (h) 1,114 unvested restricted stock units
granted 6/24/19; (i) 3,432 unvested restricted stock units granted
6/22/20; (j) 1,408 unvested restricted stock units granted 6/15/21;
and (k) 2,650 unvested restricted stock units granted
6/15/22. |
Reporting
Owners
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|
Reporting Owner Name / Address |
Relationships
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|
Director |
10% Owner |
Officer |
Other |
BALLOU ROGER H
3095 LOYALTY CIRCLE
COLUMBUS, OH 43219 |
X |
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Signatures
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Benjamin L. Morgan, Attorney in
Fact |
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8/9/2022 |
| **Signature of Reporting
Person |
Date |
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Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
| * |
If the form is filed by more than one
reporting person, see Instruction 4(b)(v). |
| ** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. See 18
U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
|
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB control number. |
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