SEC Form 4 · accession 0001633970-15-000005
Catalent, Inc. · CTLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nielsen Kurt
Officer — See Remarks
Period of report
Feb 17, 2015
Accepted (ET)
Feb 19, 2015 · 9:39 am 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 Stock | Feb 17, 2015 | M | 48,040 | $10.71 | A | 71,716 | D | |
| Common Stock | Feb 17, 2015 | F | 28,040 | $27.41 | D | 43,676 | D | |
| Common StockF2 | Feb 17, 2015 | S | 20,000 | $27.41 | D | 23,676 | 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 | $10.71 | Feb 17, 2015 | M | 48,040 | D | Feb 9, 2011 | Feb 9, 2020 | Common Stock | 48,040 | 56,960 | D |
Explanation of responses
- F1Represents shares withheld to pay the exercise price and applicable withholding taxes associated with the exercise of stock options.
- F2These shares were sold in multiple transactions at prices ranging from $27.33 to $27.50, 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 February 9, 2010, the reporting person was granted an option to purchase 105,000 shares of common stock of the Issuer, which vest and become exercisable in five equal annual installments beginning on February 9, 2011.
Remarks
Senior Vice President, Innovation & Growth and Chief Technology Officer