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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
INVENTIV HEALTH INC [ VTIV ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 01/03/2007 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 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 | 01/03/2007 | M(1) | 10,000 | A | $1.66 | 42,560 | D | |||
Common Stock | 01/03/2007 | S(1) | 10,000 | D | $35.0846 | 32,560 | D | |||
Common Stock | 01/03/2007 | M(1) | 2,500 | A | $8.45 | 35,060 | D | |||
Common Stock | 01/03/2007 | S(1) | 2,500 | D | $35.0846 | 32,560 | D | |||
Common Stock | 01/03/2007 | M(1) | 18,750 | A | $15.96 | 51,310 | D | |||
Common Stock | 01/03/2007 | S(1) | 18,750 | D | $35.0846 | 32,560 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 | ||||||||
Stock Option (right to buy) | $1.66 | 01/03/2007 | M(1) | 10,000 | 12/11/2006(2) | 12/11/2012 | Common Stock | 10,000 | $0 | 166,250(5) | D | ||||
Stock Option (right to buy) | $8.45 | 01/03/2007 | M(1) | 2,500 | 12/10/2006(3) | 12/10/2013 | Common Stock | 2,500 | $0 | 163,750(5) | D | ||||
Stock Option (right to buy) | $15.96 | 01/03/2007 | M(1) | 18,750 | 09/23/2006(4) | 09/23/2014 | Common Stock | 18,750 | $0 | 145,000(5) | D |
Explanation of Responses: |
1. This transaction was effected pursuant to a Rule 10b-5-1 trading plan adopted by the reporting person. The transaction was previously reported as a planned sale on a Form 144 filed by (or on behalf of) the reporting person. |
2. The reported exercise relates to an option for the purchase of 80,000 shares of common stock (currently 100% vested) granted to the reporting person on December 11, 2002. The total number of options held by the reporting person within the reported class following the reported transactions is 10,000. |
3. The reported exercise relates to an option for the purchase of 20,000 shares of common stock (currently 75% vested) granted to the reporting person on December 10, 2003. The total number of options held by the reporting person within the reported class following the reported transactions is 7,500. |
4. The reported exercise relates to an option for the purchase of 150,000 shares of common stock (currently 50% vested) granted to the reporting person on September 23, 2004. The total number of options held by the reporting person within the reported class following the reported transactions is 93,750. |
5. The derivative securities beneficial ownership reported in column 9 includes all options held by the reporting person following the reported transactions irrespective of class. |
Terrell G. Herring | 01/05/2007 | |
** 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 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 Number. |