SEC Form 4 · accession 0001596783-18-000031
Catalent, Inc. · CTLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven L Fasman
Officer — SVP & General Counsel
Period of report
Jun 20, 2018
Accepted (ET)
Jun 21, 2018 · 12:46 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 | Jun 20, 2018 | M | 15,458 | $24.26 | A | 56,522 | D | |
| Common StockF2 | Jun 20, 2018 | F | 10,954 | $41.78 | D | 45,568 | D | |
| Common StockF4,F2 | Jun 20, 2018 | S | 2,252 | $41.78 | D | 43,316 | 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 StockF5 | $24.26 | Jun 20, 2018 | M | 15,458 | D | — | Oct 23, 2024 | Common Stock | 15,458 | 5,153 | D |
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 10, 2018 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 $41.78 to $41.82, 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 range set forth in this footnote.
- F5On October 23, 2014, the reporting person was granted options to purchase 20,611 shares of common stock of the Issuer, which vest and become exercisable in four equal annual installments beginning on October 23, 2015. (S1252)