SEC Form 4 · accession 0001596783-17-000180
Catalent, Inc. · CTLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John R Chiminski
Officer — Chair, President & CEO · Director
Period of report
Dec 11, 2017
Accepted (ET)
Dec 13, 2017 · 2:37 pm EST
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 | Dec 11, 2017 | M | 206,685 | $10.71 | A | 536,766 | D | |
| Common StockF2 | Dec 11, 2017 | F | 125,227 | $39.70 | D | 411,539 | D | |
| Common StockF4,F2 | Dec 11, 2017 | S | 81,458 | $39.70 | D | 330,081 | D | |
| Common StockF5,F2 | Dec 11, 2017 | S | 21,810 | $39.70 | D | 308,271 | D | |
| Common StockF6,F2 | Dec 12, 2017 | S | 78,190 | $39.51 | D | 230,081 | 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 StockF7 | $10.71 | Dec 11, 2017 | M | 206,685 | D | — | Oct 23, 2019 | Common Stock | 206,685 | 0 | D |
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 10, 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 pursuant to the Rule 10b5-1 trading plan noted in footnote (1).
- F4Weighted average price. These shares were sold in multiple transactions at prices ranging from $39.42 to $40.11, 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 ranges set forth in footnotes (4), (5), and (6) to this Form 4.
- F5Weighted average price. These shares were sold in multiple transactions at prices ranging from $39.61 to $39.75, inclusive.
- F6Weighted average price. These shares were sold in multiple transactions at prices ranging from $39.21 to $39.86, inclusive.
- F7On October 23, 2009, 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 October 23, 2010. All options have vested and been exercised or have been cancelled as of the date of this Form 4.