SEC Form 4 · accession 0001596783-18-000152
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
Oct 1, 2018
Accepted (ET)
Oct 3, 2018 · 5:53 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 | Oct 1, 2018 | M | 140,000 | $18.71 | A | 413,485 | D | |
| Common StockF2 | Oct 1, 2018 | F | 93,500 | $45.32 | D | 319,985 | D | |
| Common StockF2 | Oct 1, 2018 | M | 41,464 | $20.50 | A | 361,449 | D | |
| Common StockF2 | Oct 1, 2018 | F | 28,617 | $45.32 | D | 332,832 | D | |
| Common StockF2 | Oct 1, 2018 | M | 29,370 | $24.26 | A | 362,202 | D | |
| Common StockF2 | Oct 1, 2018 | F | 21,652 | $45.32 | D | 340,550 | D | |
| Common StockF2 | Oct 1, 2018 | M | 75,524 | $24.44 | A | 416,074 | D | |
| Common StockF2 | Oct 1, 2018 | F | 55,839 | $45.32 | D | 360,235 | D | |
| Common StockF4,F2 | Oct 1, 2018 | S | 130,545 | $45.32 | D | 229,690 | 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 | $18.71 | Oct 1, 2018 | M | 140,000 | D | — | Jun 25, 2023 | Common Stock | 140,000 | 0 | D |
| Options to purchase Common StockF6 | $20.50 | Oct 1, 2018 | M | 41,464 | D | — | Jul 30, 2024 | Common Stock | 41,464 | 0 | D |
| Options to purchase Common StockF7 | $24.26 | Oct 1, 2018 | M | 29,370 | D | — | Oct 23, 2024 | Common Stock | 29,370 | 9,790 | D |
| Options to purchase Common StockF8 | $24.44 | Oct 1, 2018 | M | 75,524 | D | — | Jul 26, 2026 | Common Stock | 75,524 | 75,525 | 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.
- 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.
- F4Volume-weighted average price. These shares were sold in multiple transactions at prices ranging from $45.06 to $45.88, 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 purchased at each separate price within the range set forth in this footnote.
- F5On June 25, 2013, the reporting person was granted options to purchase 350,000 shares of common stock of the Issuer, which vest and become exercisable in five equal annual installments (beginning on June 25, 2014) upon the satisfaction of certain performance criteria. The performance criteria were met in respect of 140,000 options. The remaining 210,000 options have been cancelled. (S1101)
- F6On July 30, 2014, the reporting person was granted options to purchase 41,464 shares of common stock of the Issuer, which vest and become exercisable in four equal annual installments beginning on July 30, 2015. (S1215)
- F7On October 23, 2014, the reporting person was granted options to purchase 39,160 shares of common stock of the Issuer, which vest and become exercisable in four equal annual installments beginning on October 23, 2015. (S1251)
- F8On July 26, 2016, the reporting person was granted options to purchase 151,049 shares of common stock of the Issuer which vest and become exercisable in four equal installments beginning July 26, 2017. (S62)