SEC Form 4 · accession 0001596783-17-000027
Catalent, Inc. · CTLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Downie
Officer — See Remarks
Period of report
Mar 20, 2017
Accepted (ET)
Mar 22, 2017 · 7:06 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 20, 2017 | M | 6,202 | $18.71 | A | 34,604 | D | |
| Common StockF2 | Mar 20, 2017 | F | 5,054 | $28.76 | D | 29,550 | D | |
| Common StockF5,F2 | Mar 20, 2017 | S | 574 | $28.60 | D | 28,976 | D | |
| Common StockF2 | Mar 20, 2017 | M | 1,031 | $10.71 | A | 30,007 | D | |
| Common StockF2 | Mar 20, 2017 | F | 689 | $28.76 | D | 29,318 | D | |
| Common StockF5,F2 | Mar 20, 2017 | S | 171 | $28.60 | D | 29,147 | D | |
| Common StockF2 | Mar 20, 2017 | M | 35,000 | $10.71 | A | 64,147 | D | |
| Common StockF2 | Mar 20, 2017 | F | 23,416 | $28.53 | D | 40,731 | D | |
| Common StockF5,F2 | Mar 20, 2017 | S | 5,792 | $28.60 | D | 34,939 | D | |
| Common StockF2 | Mar 20, 2017 | M | 10,122 | $20.50 | A | 45,061 | D | |
| Common StockF2 | Mar 20, 2017 | F | 8,582 | $28.76 | D | 36,479 | D | |
| Common StockF5,F2 | Mar 20, 2017 | S | 770 | $28.60 | D | 35,709 | D | |
| Common StockF2 | Mar 20, 2017 | M | 5,748 | $10.71 | A | 41,457 | D | |
| Common StockF2 | Mar 20, 2017 | F | 3,837 | $28.76 | D | 37,620 | D | |
| Common StockF5,F2 | Mar 20, 2017 | S | 955 | $28.60 | D | 36,665 | 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 StockF6 | $18.71 | Mar 20, 2017 | M | 6,202 | D | Jun 25, 2014 | Jun 25, 2023 | Common Stock | 6,202 | 0 | D |
| Options to purchase Common StockF7 | $10.71 | Mar 20, 2017 | M | 1,031 | D | Oct 23, 2010 | Oct 23, 2019 | Common Stock | 1,031 | 0 | D |
| Options to purchase Common StockF8 | $10.71 | Mar 20, 2017 | M | 35,000 | D | Oct 23, 2010 | Oct 23, 2019 | Common Stock | 35,000 | 0 | D |
| Options to purchase Common StockF9 | $20.50 | Mar 20, 2017 | M | 10,122 | D | Jul 30, 2015 | Jul 30, 2024 | Common Stock | 10,122 | 10,122 | D |
| Options to purchase Common StockF10 | $10.71 | Mar 20, 2017 | M | 5,748 | D | Oct 23, 2010 | Oct 23, 2019 | Common Stock | 5,748 | 29,252 | D |
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 17, 2017 in order to implement a plan of financial diversification.
- F10On October 23, 2009, the reporting person was granted an option to purchase 35,000 shares of common stock of the Issuer which vest and become exercisable in five equal annual installments beginning on October 23, 2010.
- 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 $28.26 to $28.79, 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.
- F6On June 25, 2013, the reporting person was granted an option to purchase 31,010 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.
- F7On October 23, 2009, the reporting person was granted an option to purchase 105,000 shares of common stock of the Issuer, which vest and become exercisable in five equal annual installments beginning on October 23, 2010.
- F8On October 23, 2009, the reporting person was granted an option to purchase 35,000 shares of common stock of the Issuer which vest and become exercisable in five equal annual installments beginning on October 23, 2010.
- F9On July 30, 2014, the reporting person was granted an option to purchase 20,244 shares of common stock of the Issuer, which vest and become exercisable in four equal annual installments beginning on July 30, 2015.
Remarks
Senior Vice President, Global Sales & Marketing