SEC Form 4 · accession 0001596783-19-000023

Catalent, Inc. · CTLT

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — SVP, Human Resources

Period of report

Mar 7, 2019

Accepted (ET)

Mar 11, 2019 · 7:31 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
Common Stock^F1	Mar 7, 2019	M	35,000	$18.71	A	81,799	D
Common Stock^F1	Mar 7, 2019	F	22,140	$42.64	D	59,659	D
Common Stock^F1	Mar 7, 2019	M	13,540	$18.71	A	73,199	D
Common Stock^F1	Mar 7, 2019	F	9,114	$42.64	D	64,085	D
Common Stock^F1	Mar 7, 2019	M	11,690	$18.71	A	75,775	D
Common Stock^F1	Mar 7, 2019	F	8,362	$42.64	D	67,413	D
Common Stock^F1	Mar 7, 2019	M	63,380	$12.14	A	130,793	D
Common Stock^F1	Mar 7, 2019	F	40,375	$42.64	D	90,418	D
Common Stock^F2,F1	Mar 7, 2019	S	43,500	$42.49	D	46,918	D
Common Stock^F1	Mar 7, 2019	S	119	$42.55	D	46,799	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Options to purchase Common Stock^F3	$18.71	Mar 7, 2019	M	35,000	D	—	Jun 25, 2023	Common Stock	35,000	D
Options to purchase Common Stock	$18.71	Mar 7, 2019	M	13,540	D	Sep 9, 2016	Jun 25, 2023	Common Stock	13,540	D
Options to purchase Common Stock^F4	$18.71	Mar 7, 2019	M	11,690	D	—	Jun 25, 2023	Common Stock	11,690	D
Options to purchase Common Stock^F5	$12.14	Mar 7, 2019	M	63,380	D	—	Mar 14, 2021	Common Stock	63,380	D

F1Includes restricted stock units.
F2Volume-weighted average price. These shares were sold in multiple transactions at prices ranging from $42.40 to $42.76, 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.
F3On June 25, 2013, the reporting person was granted an option to purchase 35,000 shares of common stock of the Issuer, which vested and became exercisable in five equal annual installments beginning on June 30, 2014.
F4On June 25, 2013, the reporting person was granted an option to purchase 11,690 shares of common stock of the Issuer, which vested and became exercisable in five equal annual installments based on satisfaction of certain performance-based vesting criteria for each of the fiscal years ending June 30, 2014 through June 30, 2018.
F5On March 14, 2011, the reporting person was granted an option to purchase common stock of the Issuer, which option began to vest and become exercisable upon the passage of time and, in certain cases, the satisfaction of performance criteria beginning March 14, 2012.