SEC Form 4 · accession 0001596783-17-000025
Catalent, Inc. · CTLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John R Chiminski
Officer — See Remarks · Director
Period of report
Mar 16, 2017
Accepted (ET)
Mar 20, 2017 · 5:31 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 StockF2 | Mar 16, 2017 | M | 206,684 | $10.71 | A | 393,191 | D | |
| Common StockF2 | Mar 16, 2017 | F | 132,865 | $28.50 | D | 260,326 | D | |
| Common StockF5,F2 | Mar 16, 2017 | S | 68,834 | $28.62 | D | 191,492 | D | |
| Common StockF6,F2 | Mar 16, 2017 | S | 4,784 | $28.58 | D | 186,708 | D | |
| Common StockF2 | Mar 20, 2017 | S | 201 | $28.76 | D | 186,507 | 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 StockF7 | $10.71 | Mar 16, 2017 | M | 206,684 | D | Mar 17, 2010 | Oct 23, 2019 | Common Stock | 206,684 | 23,316 | D |
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 14, 2017 in order to implement a plan of financial diversification.
- F2Includes restricted stock units.
- F3Represents shares withheld to pay the exercise price and applicable withholding taxes associated with the exercise of stock options pursuant to the Rule 10b5-1 trading plan noted in footnote 1.
- F4Represents shares sold pursuant to the Rule 10b5-1 trading plan in footnote 1.
- F5These shares were sold in multiple transactions at prices ranging from $28.45 to $28.88, 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.
- F6These shares were sold in multiple transactions at prices ranging from $28.55 to $28.63, 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.
- F7On October 23, 2009, the reporting person was granted an option to purchase 472,500 shares of common stock of the Issuer, which vested and became exercisable in five equal annual installments beginning on March 17, 2010.
Remarks
President & Chief Executive Officer