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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $ 16.05 | 02/26/2010 | D | 150,000 | (3) | 05/20/2010 | Common Stock | 150,000 | (4) | 0 | D | ||||
Stock Option (Right to Buy) | $ 13.57 | 02/26/2010 | D | 250,000 | (5) | 10/07/2012 | Common Stock | 250,000 | (4) | 0 | D | ||||
Stock Appreciation Right | $ 13.43 | 02/26/2010 | D | 233,516 | (6) | 04/21/2016 | Common Stock | 233,516 | (7) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CARLUCCI DAVID R C/O IMS HEALTH 901 MAIN AVENUE, SUITE 612 NORWALK, CT 06851 |
X | Chairman, CEO & President |
Alandra C. Murphy Attorney-in-Fact | 03/02/2010 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Grant of Restricted Stock Units for no cash consideration in a transaction exempt under Rule 16b-3. |
(2) | Disposition pursuant to a merger for cash consideration equal to $22.00 per share. This transaction is exempt under Rule 16b-3(e). |
(3) | Such Option became exercisable in three equal installments beginning on 5/20/2004. |
(4) | Option canceled pursuant to a merger in exchange for cash consideration equal to the difference between $22.00 and the exercise price of the Option multiplied by the number of Options canceled. This transaction is exempt under Rule 16b-3(e). |
(5) | Such Option became exercisable in two equal installments beginning on 10/7/2003. |
(6) | Such Stock Appreciation Right will become exercisable in three equal installments beginning on 4/21/2010. |
(7) | Stock Appreciation Rights canceled pursuant to a merger in exchange for Stock Appreciation Rights in Healthcare Technology Holdings, Inc. The replacement award has an intrinsic value equal to that of the canceled award which is $2,001,232 based on the merger consideration of $22.00 per share. This transaction is exempt under Rule 16b-3(e). |