SEC Form 4 · accession 0001596783-17-000030

Catalent, Inc. · CTLT

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Sharon Johnson

Officer — See Remarks

Period of report

Apr 25, 2017

Accepted (ET)

Apr 27, 2017 · 11:02 am 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
Common Stock^F2	Apr 25, 2017	M	5,116	$10.71	A	26,781	D
Common Stock^F2	Apr 25, 2017	F	3,407	$29.00	D	23,374	D
Common Stock^F2	Apr 25, 2017	S	854	$29.00	D	22,520	D
Common Stock^F2	Apr 25, 2017	M	31,150	$10.71	A	53,670	D
Common Stock^F2	Apr 25, 2017	F	20,741	$29.00	D	32,929	D
Common Stock^F2	Apr 25, 2017	S	5,204	$29.00	D	27,725	D
Common Stock^F2	Apr 25, 2017	M	632	$18.57	A	28,357	D
Common Stock^F2	Apr 25, 2017	F	512	$29.00	D	27,845	D
Common Stock^F2	Apr 25, 2017	S	60	$29.00	D	27,785	D
Common Stock^F2	Apr 25, 2017	M	3,850	$18.57	A	31,635	D
Common Stock^F2	Apr 25, 2017	F	3,117	$29.00	D	28,518	D
Common Stock^F2	Apr 25, 2017	S	366	$29.00	D	28,152	D
Common Stock^F2	Apr 25, 2017	M	2,352	$18.57	A	30,504	D
Common Stock^F2	Apr 25, 2017	F	1,904	$29.00	D	28,600	D
Common Stock^F2	Apr 25, 2017	S	224	$29.00	D	28,376	D
Common Stock^F2	Apr 25, 2017	M	9,352	$18.57	A	37,728	D
Common Stock^F2	Apr 25, 2017	F	7,570	$29.00	D	30,158	D
Common Stock^F2	Apr 25, 2017	S	891	$29.00	D	29,267	D
Common Stock^F2	Apr 25, 2017	M	8,786	$18.71	A	38,053	D
Common Stock^F2	Apr 25, 2017	F	7,135	$29.00	D	30,918	D
Common Stock^F2	Apr 25, 2017	S	825	$29.00	D	30,093	D
Common Stock^F2	Apr 25, 2017	M	9,478	$20.50	A	39,571	D
Common Stock^F2	Apr 25, 2017	F	8,006	$29.00	D	31,565	D
Common Stock^F2	Apr 25, 2017	S	736	$29.00	D	30,829	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 Stock	$10.71	Apr 25, 2017	M	5,116	D	Sep 9, 2016	Oct 23, 2019	Common Stock	5,116	31,150	D
Options to purchase Common Stock	$10.71	Apr 25, 2017	M	31,150	D	Sep 9, 2016	Oct 23, 2019	Common Stock	31,150	0	D
Options to purchase Common Stock^F4	$18.57	Apr 25, 2017	M	2,352	D	Jun 30, 2013	Jun 30, 2022	Common Stock	2,352	0	D
Options to purchase Common Stock^F5	$18.57	Apr 25, 2017	M	9,352	D	—	Jun 30, 2022	Common Stock	9,352	2,338	D
Options to purchase Common Stock	$18.57	Apr 25, 2017	M	632	D	Sep 9, 2016	Jun 30, 2022	Common Stock	632	3,850	D
Options to purchase Common Stock	$18.57	Apr 25, 2017	M	3,850	D	Sep 9, 2016	Jun 30, 2022	Common Stock	3,850	0	D
Options to purchase Common Stock^F6	$18.71	Apr 25, 2017	M	8,786	D	Jun 25, 2014	Jun 25, 2023	Common Stock	8,786	0	D
Options to purchase Common Stock^F7	$20.50	Apr 25, 2017	M	9,478	D	—	Jul 30, 2024	Common Stock	9,478	9,478	D

Explanation of responses

F1This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 27, 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.
F4On June 30, 2012, the reporting person was granted an option to purchase 3,920 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 2013, 2014, 2015, 2016 and 2017. The performance criteria for 2013, 2014 and 2015 were met, resulting in vesting of the option as to 2,352 shares in the aggregate.
F5On June 30, 2012, the reporting person was granted an option to purchase 11,690 shares of common stock of the Issuer, which vest and become exercisable in five equal annual installments beginning on April 1, 2013.
F6On June 25, 2013, the reporting person was granted an option to purchase 29,120 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 11,648 shares in the aggregate.
F7On July 30, 2014, the reporting person was granted an option to purchase 18,956 shares of common stock of the Issuer, which vest and become exercisable in four equal annual installments beginning on July 30, 2015.