Statement of Changes in Beneficial Ownership (4)
04 Oktober 2016 - 12:55AM
Edgar (US Regulatory)
FORM 4
[
X
]
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
*
Bhangdia Harshan
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2. Issuer Name
and
Ticker or Trading Symbol
IMS Health Holdings, Inc.
[
IMS
]
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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)
Vice President and Controller
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(Last)
(First)
(Middle)
C/O IMS HEALTH HOLDINGS, INC., 83 WOOSTER HEIGHTS ROAD
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3. Date of Earliest Transaction
(MM/DD/YYYY)
10/3/2016
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(Street)
DANBURY, CT 06810
(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
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10/3/2016
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A
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5981
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A
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(1)
(2)
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5981
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D
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Common Stock
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10/3/2016
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A
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8209
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A
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(3)
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14190
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D
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Common Stock
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10/3/2016
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D
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14190
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D
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(4)
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0
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Option (right to buy)
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$10.00
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10/3/2016
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D
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36000
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2/26/2012
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3/15/2020
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Common Stock
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36000
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(5)
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0
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D
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Employee Stock Option (right to buy)
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$5.80
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10/3/2016
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D
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18000
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2/26/2013
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3/15/2020
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Common Stock
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18000
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(6)
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0
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D
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Employee Stock Option (right to buy)
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$3.20
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10/3/2016
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D
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36000
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2/26/2015
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3/15/2020
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Common Stock
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36000
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(7)
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0
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D
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Stock Appreciation Right
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$25.02
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10/3/2016
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D
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3371
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2/10/2016
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2/10/2025
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Common Stock
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3371
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(8)
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0
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D
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Stock Appreciation Right
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$25.02
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10/3/2016
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D
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10113
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(9)
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2/10/2025
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Common Stock
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10113
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(10)
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0
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D
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Stock Appreciation Right
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$23.00
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10/3/2016
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D
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18274
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(11)
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2/2/2026
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Common Stock
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18274
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(12)
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0
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D
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Explanation of Responses:
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(
1)
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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.
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(
2)
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On February 10, 2015, the reporting person was granted 5,018 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, 5,981 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 2,296 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.
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(
3)
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On February 2, 2016 the reporting person was granted 5,962 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, 8,209 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 3,152 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.
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(
4)
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Disposed of pursuant to merger agreement in exchange for 5,448 shares of Quintiles IMS Holdings, Inc. stock having a market value of $81.06 per share at the effective time of the merger.
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(
5)
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This option was assumed by Quintiles in the merger and replaced with an option to purchase 13,824 shares of Quintiles IMS Holdings, Inc. common stock at a price of $26.05 per share.
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(
6)
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This option was assumed by Quintiles in the merger and replaced with an option to purchase 6,912 shares of Quintiles IMS Holdings, Inc. common stock at a price of $15.11 per share.
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(
7)
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This option was assumed by Quintiles in the merger and replaced with an option to purchase 13,824 shares of Quintiles IMS Holdings, Inc. common stock at a price of $8.34 per share.
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(
8)
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This stock appreciation right was assumed by Quintiles in the merger and replaced with a stock appreciation right to purchase 1,294 shares of Quintiles IMS Holdings, Inc. common stock at a price of $65.16 per share.
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(
9)
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This stock appreciation right vests in three annual installments beginning on February 10, 2017.
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(
10)
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This stock appreciation right was assumed by Quintiles in the merger and replaced with a stock appreciation right to purchase 3,883 shares of Quintiles IMS Holdings, Inc. common stock at a price of $65.16 per share.
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(
11)
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This stock appreciation right vests in four annual installments beginning on February 2, 2017.
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(
12)
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This stock appreciation right was assumed by Quintiles in the merger and replaced with a stock appreciation right to purchase 7,017 shares of Quintiles IMS Holdings, Inc. common stock at a price of $59.90 per share.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Bhangdia Harshan
C/O IMS HEALTH HOLDINGS, INC.
83 WOOSTER HEIGHTS ROAD
DANBURY, CT 06810
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Vice President and Controller
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Signatures
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/s/ Harvey A. Ashman, Attorney-in-Fact
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10/3/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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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