SEC Form 4 · accession 0001596783-18-000156
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
Oct 15, 2018
Accepted (ET)
Oct 17, 2018 · 12:28 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 15, 2018 | M | 87,500 | $14.86 | A | 125,218 | D | |
| Common StockF2 | Oct 15, 2018 | F | 58,940 | $41.64 | D | 66,278 | D | |
| Common StockF2 | Oct 15, 2018 | M | 23,408 | $14.86 | A | 89,686 | D | |
| Common StockF2 | Oct 15, 2018 | F | 15,768 | $41.64 | D | 73,918 | D | |
| Common StockF2 | Oct 15, 2018 | M | 4,783 | $14.86 | A | 78,701 | D | |
| Common StockF2 | Oct 15, 2018 | F | 3,222 | $41.64 | D | 75,479 | D | |
| Common StockF2 | Oct 15, 2018 | M | 29,120 | $14.86 | A | 104,599 | D | |
| Common StockF2 | Oct 15, 2018 | F | 19,616 | $41.64 | D | 84,983 | D | |
| Common StockF4,F2 | Oct 15, 2018 | S | 47,265 | $41.64 | D | 37,718 | 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 | $14.86 | Oct 15, 2018 | M | 87,500 | D | — | Sep 15, 2021 | Common Stock | 87,500 | 0 | D |
| Options to purchase Common StockF6 | $14.86 | Oct 15, 2018 | M | 23,408 | D | — | Sep 15, 2021 | Common Stock | 23,408 | 0 | D |
| Options to purchase Common Stock | $14.86 | Oct 15, 2018 | M | 4,783 | D | Sep 9, 2016 | Sep 15, 2021 | Common Stock | 4,783 | 29,120 | D |
| Options to purchase Common Stock | $14.86 | Oct 15, 2018 | M | 29,120 | D | Sep 9, 2016 | Sep 15, 2021 | Common Stock | 29,120 | 0 | 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 $41.50 to $41.94, 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 September 15, 2011, the reporting person was granted an option to purchase 87,500 shares of common stock of the Issuer, which vested and became exercisable in five equal annual installments beginning on September 15, 2012. (S1034)
- F6On September 15, 2011, the reporting person was granted options to purchase 29,260 shares of common stock of the Issuer, which vested and became exercisable in five equal annual installments (beginning on September 15, 2012) upon the satisfaction of certain performance criteria. The performance criteria were met in respect of 23,408 options. The remaining 5,852 options have been cancelled. (S1077)