SEC Form 4 · accession 0001596783-18-000049
Catalent, Inc. · CTLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Barry Littlejohns
Officer — President, Biologics & SDD
Period of report
Jul 23, 2018
Accepted (ET)
Jul 25, 2018 · 1:46 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 StockF1,F2 | Jul 23, 2018 | A | 2,507 | $0.00 | A | 34,756 | 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,F4 | $43.88 | Jul 23, 2018 | A | 12,861 | A | — | Jul 23, 2028 | Common Stock | 12,861 | 12,861 | D |
Explanation of responses
- F1Restricted stock received by the reporting person pursuant to the Issuer's annual grant to executive officers and other personnel under its long-term incentive plan. Subject to forfeiture until vested on third anniversary of grant.
- F2Includes restricted stock units.
- F3Received by the reporting person pursuant to the Issuer's annual grant to executive officers and other personnel under its long-term incentive plan.
- F4The options vest and become exercisable in four equal annual installments beginning on July 23, 2019.