SEC Form 4 · accession 0001596783-16-000073
Catalent, Inc. · CTLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew M Walsh
Officer — See Remarks
Period of report
May 27, 2016
Accepted (ET)
Jun 1, 2016 · 5:35 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001596783
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 27, 2016 | M | 17,500 | $14.86 | A | 105,688 | D | |
| Common StockF1 | May 27, 2016 | F | 13,082 | $28.85 | D | 92,606 | D | |
| Common StockF4,F1 | May 27, 2016 | S | 4,418 | $28.85 | D | 88,188 | D | |
| Common StockF1 | May 27, 2016 | M | 52,500 | $14.86 | A | 140,688 | D | |
| Common StockF1 | May 27, 2016 | F | 39,245 | $28.85 | D | 101,443 | D | |
| Common StockF4,F1 | May 27, 2016 | S | 13,255 | $28.85 | D | 88,188 | D | |
| Common StockF1 | May 27, 2016 | M | 19,124 | $18.71 | A | 107,312 | D | |
| Common StockF1 | May 27, 2016 | F | 15,600 | $28.85 | D | 91,712 | D | |
| Common StockF4,F1 | May 27, 2016 | S | 3,524 | $28.85 | D | 88,188 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to purchase Common StockF5 | $14.86 | May 27, 2016 | M | 17,500 | A | — | Oct 11, 2021 | Common Stock | 17,500 | 0 | D |
| Options to purchase Common StockF6 | $14.86 | May 27, 2016 | M | 52,500 | A | — | Oct 11, 2021 | Common Stock | 52,500 | 0 | D |
| Options to purchase Common StockF7 | $18.71 | May 27, 2016 | M | 19,124 | A | — | Jun 25, 2023 | Common Stock | 19,124 | 28,686 | D |
Explanation of responses
- F1Includes restricted stock units.
- F2Represents shares withheld to pay the exercise price and applicable withholding taxes associated with the exercise of stock options.
- F3The sales of the shares were for financial planning purposes, including, in particular, tax obligations associated with equity awards that settled in fiscal year 2016.
- F4These shares were sold in multiple transactions at prices ranging from $28.74 to $29.05, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F5On October 11, 2011, the reporting person was granted an option to purchase 17,500 shares of common stock of the Issuer which vest and become exercisable in three equal annual installments based on satisfaction of certain performance criteria for each of the fiscal years ending 2012, 2013 and 2014. The performance criteria for 2012, 2013 and 2014 were met, resulting in vesting of the option as to all 17,500 shares.
- F6On October 11, 2011, the reporting person was granted an option to purchase 52,500 shares of common stock of the Issuer, which vest and become exercisable in five equal annual installments beginning on September 26, 2012.
- F7On June 25, 2013, the reporting person was granted an option to purchase 47,810 shares of common stock of the Issuer which vest and become exercisable in five equal annual installments based on satisfaction of certain performance criteria for each of the fiscal years ending 2014, 2015, 2016, 2017 and 2018. The performance criteria for 2014 and 2015 were met, resulting in vesting of the option as to 19,124 shares.
Remarks
Executive Vice President and Chief Financial Officer