SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
ASHMAN HARVEY A.

(Last) (First) (Middle)
C/O IMS HEALTH HOLDINGS, INC.
83 WOOSTER HEIGHTS ROAD

(Street)
DANBURY CT 06810

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
IMS Health Holdings, Inc. [ IMS ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
See Remarks
3. Date of Earliest Transaction (Month/Day/Year)
10/03/2016
4. If Amendment, Date of Original Filed (Month/Day/Year)
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. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction 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 10/03/2016 A 3,587 A (1)(2) 29,086 D
Common Stock 10/03/2016 A 4,478 A (3) 33,564 D
Common Stock 10/03/2016 D 33,564 D (4) 0 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 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: 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
Employee Stock Option (right to buy) $10 10/03/2016 D 80,000 02/26/2012 03/15/2020 Common Stock 80,000 (5) 0 D
Employee Stock Option (right to buy) $5.8 10/03/2016 D 40,000 02/26/2013 03/15/2020 Common Stock 40,000 (6) 0 D
Employee Stock Option (right to buy) $3.2 10/03/2016 D 80,000 02/26/2015 03/15/2020 Common Stock 80,000 (7) 0 D
Employee Stock Option (right to buy) $9.8 10/03/2016 D 5,000 05/08/2013 05/08/2022 Common Stock 5,000 (8) 0 D
Employee Stock Option (right to buy) $7.2 10/03/2016 D 15,000 05/08/2016 05/08/2022 Common Stock 15,000 (9) 0 D
Employee Stock Option (right to buy) $7.2 10/03/2016 D 3,000 05/08/2017 05/08/2022 Common Stock 3,000 (10) 0 D
Employee Stock Option (right to buy) $7.2 10/03/2016 D 2,000 05/08/2017 05/08/2020 Common Stock 2,000(11) (12) 0 D
Stock Appreciation Right $25.02 10/03/2016 D 2,022 02/10/2016 02/10/2025 Common Stock 2,022 (13) 0 D
Stock Appreciation Right $25.02 10/03/2016 D 6,068 (14) 02/10/2025 Common Stock 6,068 (15) 0 D
Stock Appreciation Right $23 10/03/2016 D 9,968 (16) 02/02/2026 Common Stock 9,968 (17) 0 D
Explanation of Responses:
1. On May 3, 2016, the issuer and Quintiles Transnational Holdings, Inc. ("Quintiles") entered into an Agreement and Plan of Merger pursuant to which on October 3, 2016 the issuer merged with and into Quintiles (the "merger"), the separate existence of the issuer ceased and Quintiles will continue as the surviving corporation, operating under the name Quintiles IMS Holdings, Inc.
2. On February 10, 2015, the reporting person was granted 3,010 performance-based restricted stock units. The shares are earned based on the company's financial results over a three-year period (January 1, 2015 - December 31, 2017). In connection with the merger and based on the performance criteria achieved, 3,587 shares of issuer common stock were issued to the recipient. The performance-based restricted stock unit was assumed by Quintiles in the merger and replaced with a time-based restricted stock unit of 1,377 shares of Quintiles IMS Holdings, Inc. stock having a market value of $81.06 per share at the effective time of the merger. The shares will vest on December 31, 2017.
3. On February 2, 2016, the reporting person was granted 3,252 performance-based restricted stock units. The shares are earned based on the company's financial results over a three-year period (January 1, 2016 - December 31, 2018). In connection with the merger and based on the performance criteria achieved, 4,478 shares of issuer common stock were issued to the recipient. The performance-based restricted stock unit was assumed by Quintiles in the merger and replaced with a time-based restricted stock unit of 1,719 shares of Quintiles IMS Holdings, Inc. stock having a market value of $81.06 per share at the effective time of the merger. The shares will vest on December 31, 2018.
4. Disposed of pursuant to merger agreement in exchange for 12,888 shares of Quintiles IMS Holdings, Inc. stock having a market value of $81.06 per share at the effective time of the merger.
5. This option was assumed by Quintiles in the merger and replaced with an option to purchase 30,720 shares of Quintiles IMS Holdings, Inc. common stock at a price of $26.05 per share.
6. This option was assumed by Quintiles in the merger and replaced with an option to purchase 15,360 shares of Quintiles IMS Holdings, Inc. common stock at a price of $15.11 per share.
7. This option was assumed by Quintiles in the merger and replaced with an option to purchase 30,720 shares of Quintiles IMS Holdings, Inc. common stock at a price of $8.34 per share.
8. This option was assumed by Quintiles in the merger and replaced with an option to purchase 1,920 shares of Quintiles IMS Holdings, Inc. common stock at a price of $25.53 per share.
9. This option was assumed by Quintiles in the merger and replaced with an option to purchase 5,760 shares of Quintiles IMS Holdings, Inc. common stock at a price of $18.75 per share.
10. This option was assumed by Quintiles in the merger and replaced with an option to purchase 1,152 shares of Quintiles IMS Holdings, Inc. common stock at a price of $18.75 per share.
11. On May 8, 2012, the reporting person was granted a performance-based option to purchase 10,000 shares of common stock. This option vests in five equal annual installments beginning May 8, 2013, subject to the achievement of certain performance criteria for each of the fiscal years ending December 31, 2012, 2013, 2014, 2015, and 2016. In connection with the merger, the performance criteria was achieved resulting in the option vesting with respect to 2,000 shares of issuer common stock. The performance-based option was assumed by Quintiles in the merger and replaced with a time-based option.
12. This option was assumed by Quintiles in the merger and replaced with an option to purchase 768 shares of Quintiles IMS Holdings, Inc. common stock at a price of $18.75 per share.
13. This stock appreciation right was assumed by Quintiles in the merger and replaced with a stock appreciation right to purchase 776 shares of Quintiles IMS Holdings, Inc. common stock at a price of $65.16 per share.
14. This stock appreciation right vests in three annual installments beginning on February 10, 2017.
15. This stock appreciation right was assumed by Quintiles in the merger and replaced with a stock appreciation right to purchase 2,330 shares of Quintiles IMS Holdings, Inc. common stock at a price of $65.16 per share.
16. This stock appreciation right vests in four annual installments beginning on February 2, 2017.
17. This stock appreciation right was assumed by Quintiles in the merger and replaced with a stock appreciation right to purchase 3,827 shares of Quintiles IMS Holdings, Inc. common stock at a price of $59.90 per share.
Remarks:
Senior VP, General Counsel, External Affairs and Corporate Secretary
/s/ Harvey A. Ashman 10/03/2016
** Signature of Reporting Person Date
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