SEC Form 4 · accession 0001596783-18-000023
Catalent, Inc. · CTLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Downie
Officer — SVP, Global Sales & Marketing
Period of report
Mar 8, 2018
Accepted (ET)
Mar 12, 2018 · 11:44 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 Stock | Mar 8, 2018 | M | 5,061 | $20.50 | A | 46,986 | D | |
| Common Stock | Mar 8, 2018 | F | 3,914 | $40.95 | D | 43,072 | D | |
| Common Stock | Mar 8, 2018 | M | 6,116 | $31.96 | A | 49,188 | D | |
| Common Stock | Mar 8, 2018 | F | 5,507 | $40.95 | D | 43,681 | D | |
| Common Stock | Mar 8, 2018 | M | 4,338 | $24.44 | A | 48,019 | D | |
| Common Stock | Mar 8, 2018 | F | 3,544 | $40.95 | D | 44,475 | D | |
| Common Stock | Mar 8, 2018 | S | 9,082 | $41.80 | D | 35,393 | 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 StockF1 | $20.50 | Mar 8, 2018 | M | 5,061 | D | Jul 30, 2015 | Jul 30, 2024 | Common Stock | 5,061 | 5,061 | D |
| Options to purchase Common StockF2 | $31.96 | Mar 8, 2018 | M | 6,116 | D | Aug 27, 2016 | Aug 27, 2025 | Common Stock | 6,116 | 6,117 | D |
| Options to purchase Common StockF3 | $24.44 | Mar 8, 2018 | M | 4,338 | D | Jul 26, 2017 | Jul 26, 2026 | Common Stock | 4,338 | 13,015 | D |
Explanation of responses
- F1On July 30, 2014, the reporting person was granted options to purchase common stock of the Issuer, which options vest and become exercisable in four equal annual installments beginning on July 30, 2015. (S1221)
- F2On August 27, 2015, the reporting person was granted options to purchase common stock of the Issuer, which options vest and become exercisable in four equal annual installments beginning on August 27, 2016. (S10)
- F3On July 26, 2016, the reporting person was granted options to purchase common stock of the Issuer, which options vest and become exercisable in four equal annual installments beginning on July 26, 2017. (S68)