SEC Form 4 · accession 0001596783-17-000141
Catalent, Inc. · CTLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lance Miyamoto
Officer — SVP - Human Resources
Period of report
Aug 24, 2017
Accepted (ET)
Aug 28, 2017 · 12:29 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 | Aug 24, 2017 | A | 10,960 | $0.00 | A | 37,401 | D | |
| Common StockF2 | Aug 24, 2017 | F | 3,604 | $35.21 | D | 33,797 | 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 StockF4 | $18.71 | Aug 24, 2017 | A | 2,338 | A | — | Jun 25, 2023 | Common Stock | 2,338 | 7,014 | D |
Explanation of responses
- F1Received upon the achievement of the fiscal 2015-17 performance-based vesting criteria set forth in certain performance share units held by the reporting person.
- F2Includes restricted stock units.
- F3Received upon the satisfaction of the performance-based vesting criteria set forth in certain options held by the reporting person.
- F4On June 25, 2013, the reporting person was granted options to purchase 11,690 shares of common stock of the Issuer which vest and become exercisable in five equal annual installments based on satisfaction of certain performance-based vesting criteria for each of the fiscal years ending June 30, 2014 through June 30, 2018.