FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 05/08/2013 |
3. Issuer Name and Ticker or Trading Symbol
Quintiles Transnational Holdings Inc. [ Q ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 97,140 | I | By Trust(1) |
Common Stock | 182,860 | I | By Trust(2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) | (3) | 04/01/2016 | Common Stock | 75,000 | $6.61 | D | |
Employee Stock Option (Right to Buy) | (4) | 10/01/2016 | Common Stock | 160,000 | $8.24 | D | |
Employee Stock Option (Right to Buy) | (5) | 10/01/2016 | Common Stock | 40,000 | $5.76 | D | |
Employee Stock Option (Right to Buy) | (6) | 06/30/2018 | Common Stock | 150,000 | $13.06 | D | |
Employee Stock Option (Right to Buy) | (6) | 06/30/2018 | Common Stock | 150,000 | $10.58 | D | |
Employee Stock Option (Right to Buy) | (6) | 06/30/2018 | Common Stock | 150,000 | $15.88 | D | |
Employee Stock Option (Right to Buy) | (7) | 06/30/2018 | Common Stock | 50,000 | $13.4 | D | |
Employee Stock Option (Right to Buy) | (8) | 08/08/2022 | Common Stock | 100,000 | $24.59 | D |
Explanation of Responses: |
1. The reporting person is a trustee of the John David Ratliff, Trustee of the John David Ratliff Revocable Declaration of Trust u/a/d 9/16/05, as amended and restated by first amendment u/a/d 1/31/12, and any further amendment thereto, which trust holds the shares. The reporting person disclaims beneficial ownership of the shares held by such trust except to the extent of his pecuniary interest therein. |
2. The reporting person is a trustee of the John David Ratliff 2012 Irrevocable Trust, which trust holds the shares. The reporting person disclaims beneficial ownership of the shares held by such trust except to the extent of his pecuniary interest therein. |
3. Grant to the reporting person of options under the Quintiles Transnational Holdings Inc. 2003 Stock Incentive Plan to purchase 75,000 shares of Quintiles Transnational Holdings Inc. common stock; 75,000 options remain outstanding under this grant, all 75,000 of which are currently vested. |
4. Grant to the reporting person of options under the Quintiles Transnational Holdings Inc. 2003 Stock Incentive Plan to purchase 160,000 shares of Quintiles Transnational Holdings Inc. common stock; 160,000 options remain outstanding under this grant, all 160,000 of which are currently vested. |
5. Grant to the reporting person of options under the Quintiles Transnational Holdings Inc. 2003 Stock Incentive Plan to purchase 40,000 shares of Quintiles Transnational Holdings Inc. common stock; 40,000 options remain outstanding under this grant, all 40,000 of which are currently vested. |
6. Grant to the reporting person of options under the Quintiles Transnational Holdings Inc. 2008 Stock Incentive Plan to purchase 150,000 shares of Quintiles Transnational Holdings Inc. common stock; 150,000 options remain outstanding under this grant, all 150,000 of which are currently vested. |
7. Grant to the reporting person of options under the Quintiles Transnational Holdings Inc. 2008 Stock Incentive Plan to purchase 50,000 shares of Quintiles Transnational Holdings Inc. common stock; 50,000 options remain outstanding under this grant, all 50,000 of which are currently vested. |
8. Grant to the reporting person of options under the Quintiles Transnational Holdings Inc. 2008 Stock Incentive Plan to purchase 100,000 shares of Quintiles Transnational Holdings Inc. common stock; 100,000 options remain outstanding under this grant, 25,000 of which will vest on each of August 8, 2013, August 8, 2014, August 8, 2015 and August 8, 2016. |
/s/ Beverly L. Rubin, Attorney-in-Fact for John D. Ratliff | 05/08/2013 | |
** Signature of Reporting Person | Date | |
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 5 (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 Number. |