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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Sullivan Michael J C/O IHS INC. 15 INVERNESS WAY EAST ENGLEWOOD, CO 80112 |
Executive VP & CFO |
M. Sean Radcliffe, Attorney-in-Fact on behalf of Reporting Person | 08/11/2011 | |
**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) | Consists of Performance-based Restricted Stock Units awarded to Mr. Sullivan on February 1, 2009 and December 15, 2010, neither of which was previously required to be reported on a Form 4 until performance criteria had been met. Pursuant to the terms of an agreement by and between Mr. Sullivan and the Company (the "Agreement") effective August 10, 2011, these awards have modified so that (i) the performance conditions are waived, and (ii) vesting will occur 10 days after the date of the Agreement, provided that certain conditions in the Agreement have been satisfied. |
(2) | Includes 11,000 time-based Restricted Stock Units previously reported on Forms 4, the terms of which were modified by the Agreement so that vesting will occur 10 days after the date of the Agreement, provided that certain conditions in the Agreement have been satisfied. |