SEC Form 4 · accession 0001596783-17-000102
Catalent, Inc. · CTLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John R Chiminski
Officer — President & CEO · Director
Period of report
Aug 23, 2017
Accepted (ET)
Aug 25, 2017 · 12:39 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,F2 | Aug 23, 2017 | A | 11,602 | $0.00 | A | 332,876 | 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 StockF3,F4 | $34.91 | Aug 23, 2017 | A | 61,056 | A | — | Aug 23, 2027 | Common Stock | 61,056 | 61,056 | D |
Explanation of responses
- F1Restricted stock received by the reporting person pursuant to the Issuer's annual grant to executive officers and other personnel under its long-term incentive plan and to the reporting person's employment agreement with the Issuer. Subject to forfeiture until vested on third anniversary of grant.
- F2Includes restricted stock units.
- F3Received by the reporting person pursuant to the Issuer's annual grant to executive officers and other personnel under its long-term incentive plan and to the reporting person's employment agreement with the Issuer.
- F4The options vest in four equal annual installments beginning on August 23, 2018.