SEC Form 4 · accession 0001596783-17-000042
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
Jun 8, 2017
Accepted (ET)
Jun 12, 2017 · 4:36 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 | Jun 8, 2017 | M | 54,277 | $10.71 | A | 147,989 | D | |
| Common StockF2 | Jun 8, 2017 | M | 20,374 | $14.86 | A | 168,363 | D | |
| Common StockF2 | Jun 8, 2017 | F | 46,903 | $37.0086 | D | 121,460 | D | |
| Common StockF3,F2 | Jun 8, 2017 | S$0 | 24,989 | — | D | 96,471 | D | |
| Common StockF4,F2 | Jun 9, 2017 | S$0 | 2,759 | — | D | 93,712 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | $10.71 | Jun 8, 2017 | M | 54,277 | D | Sep 9, 2016 | Oct 23, 2019 | Common Stock | 54,277 | 0 | D |
| Common Stock | $14.86 | Jun 8, 2017 | M | 20,374 | D | Sep 9, 2016 | Oct 11, 2021 | Common Stock | 20,374 | 0 | D |
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 8, 2017 in order to implement a plan of financial diversification.
- F2Includes restricted stock units.
- F3These shares were sold in multiple transactions at prices ranging from $36.77 to $37.21, 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.
- F4These shares were sold in multiple transactions at prices ranging from $37.28 to $37.44, 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.
Remarks
Executive Vice President and Chief Financial Officer