SEC Form 4 · accession 0001596783-17-000150
Catalent, Inc. · CTLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christine Dolan
Officer — SVP - Product Development
Period of report
Aug 29, 2017
Accepted (ET)
Aug 31, 2017 · 10:41 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Aug 29, 2017 | M | 9,150 | $18.57 | A | 27,007 | D | |
| Common StockF2 | Aug 29, 2017 | F | 5,964 | $38.75 | D | 21,043 | D | |
| Common StockF2 | Aug 29, 2017 | S | 1,594 | $38.75 | D | 19,449 | 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 | $18.57 | Aug 29, 2017 | M | 9,150 | D | — | May 25, 2022 | Common Stock | 9,150 | 34,287 | D |
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in order to implement a plan of financial diversification.
- F2Includes restricted stock units.
- F3On May 25, 2012, the reporting person was granted options to purchase common stock of the Issuer, which options began to vest and become exercisable upon the passage of time and, in certain cases, the satisfaction of performance criteria beginning April 1, 2013.