SEC Form 4 · accession 0001633970-15-000007

Catalent, Inc. · CTLT

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

Reporting owner

Sharon Johnson

Officer — See Remarks

Period of report

Feb 13, 2015

Accepted (ET)

Feb 19, 2015 · 8:14 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
Common Stock	Feb 13, 2015	M	31,080	$10.71	A	46,473	D
Common Stock	Feb 13, 2015	F	20,950	$27.83	D	25,523	D
Common Stock^F2	Feb 13, 2015	S	10,130	$27.82	D	15,393	D
Common Stock	Feb 13, 2015	M	18,320	$10.71	A	33,713	D
Common Stock	Feb 13, 2015	F	12,350	$27.83	D	21,363	D
Common Stock^F2	Feb 13, 2015	S	5,970	$27.83	D	15,393	D
Common Stock	Feb 17, 2015	M	74,990	$10.71	A	90,383	D
Common Stock	Feb 17, 2015	F	50,787	$27.40	D	39,596	D
Common Stock^F3	Feb 17, 2015	S	24,203	$27.40	D	15,393	D
Common Stock	Feb 17, 2015	M	2,862	$18.71	A	18,255	D
Common Stock	Feb 17, 2015	F	2,382	$27.40	D	15,873	D
Common Stock^F3	Feb 17, 2015	S	480	$27.40	D	15,393	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 stock^F4	$10.71	Feb 13, 2015	M	31,080	D	Oct 23, 2010	Oct 23, 2019	Common Stock	31,080	0	D
Options to purchase common stock^F5	$10.71	Feb 13, 2015	M	18,320	D	Oct 23, 2010	Oct 23, 2019	Common Stock	18,320	74,990	D
Options to purchase common stock^F5	$10.71	Feb 17, 2015	M	74,990	D	Oct 23, 2010	Oct 23, 2019	Common Stock	74,990	0	D
Options to purchase common stock^F6	$18.71	Feb 17, 2015	M	2,862	D	Jun 25, 2014	Jun 25, 2023	Common Stock	2,862	26,258	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 $28.00 to $28.72, 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.
F3These shares were sold in multiple transactions at prices ranging from $27.30 to $27.47, 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.
F4On October 23, 2009, the reporting person was granted an option to purchase 31,080 shares of common stock of the Issuer which vest and become exercisable in five equal annual installments based on satisfaction of certain performance criteria for each of the fiscal years ending 2010, 2011, 2012, 2013 and 2014. The performance criteria for 2010, 2011, 2012, 2013 and 2014 were met.
F5On October 23, 2009, the reporting person was granted an option to purchase 93,310 shares of common stock of the Issuer, which vest and become exercisable in five equal annual installments beginning on October 23, 2010.
F6On June 25, 2013, the reporting person was granted an option to purchase 29,120 shares of common stock of the Issuer which vest and become exercisable in five equal annual installments based on satisfaction of certain performance criteria for each of the fiscal years ending 2014, 2015, 2016, 2017 and 2018. The performance criteria for 2014 were met, resulting in vesting of the option as to 5,824 shares.

Remarks

Senior Vice President, Global Quality & Regulatory Affairs