SEC Form 4 · accession 0001596783-19-000017
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
Feb 15, 2019
Accepted (ET)
Feb 20, 2019 · 3:48 pm EST
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 | Feb 15, 2019 | M | 5,061 | $20.50 | A | 44,581 | D | |
| Common StockF2 | Feb 15, 2019 | F | 3,688 | $42.00 | D | 40,893 | D | |
| Common StockF2 | Feb 15, 2019 | M | 4,338 | $24.44 | A | 45,231 | D | |
| Common StockF2 | Feb 15, 2019 | F | 3,377 | $42.00 | D | 41,854 | D | |
| Common StockF2 | Feb 15, 2019 | M | 3,058 | $31.96 | A | 44,912 | D | |
| Common StockF2 | Feb 15, 2019 | F | 2,671 | $42.00 | D | 42,241 | D | |
| Common StockF2 | Feb 15, 2019 | S | 7,315 | $42.00 | D | 34,926 | 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 StockF4 | $20.50 | Feb 15, 2019 | M | 5,061 | D | Jul 30, 2015 | Jul 30, 2024 | Common Stock | 5,061 | 0 | D |
| Options to purchase Common StockF5 | $31.96 | Feb 15, 2019 | M | 3,058 | D | Aug 27, 2016 | Aug 27, 2025 | Common Stock | 3,058 | 3,059 | D |
| Options to purchase Common StockF6 | $24.44 | Feb 15, 2019 | M | 4,338 | D | Jul 26, 2017 | Jul 26, 2026 | Common Stock | 4,338 | 8,677 | 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.
- F4On July 30, 2014, the reporting person was granted options to purchase 20,244 shares of common stock of the Issuer, which vest and become exercisable in four equal annual installments beginning on July 30, 2015. (S1221)
- F5On August 27, 2015, the reporting person was granted options to purchase 12,233 shares of common stock of the Issuer, which vest and become exercisable in four equal annual installments beginning on August 27, 2016. (S10)
- F6On July 26, 2016, the reporting person was granted options to purchase 17,353 shares of common stock of the Issuer, which vest and become exercisable in four equal annual installments beginning on July 26, 2017. (S68)