SEC Form 4 · accession 0001633970-15-000008
Catalent, Inc. · CTLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen Leonard
Officer — See Remarks
Period of report
Mar 27, 2015
Accepted (ET)
Mar 31, 2015 · 6:11 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 Stock | Mar 27, 2015 | M | 136,000 | $10.71 | A | 159,250 | D | |
| Common Stock | Mar 27, 2015 | F | 83,714 | $30.13 | D | 75,536 | D | |
| Common StockF2 | Mar 27, 2015 | S | 31,005 | $30.13 | D | 44,531 | 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 | Mar 27, 2015 | M | 136,000 | D | Oct 23, 2010 | Oct 23, 2019 | Common Stock | 136,000 | 1,492 | 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 $29.98 to $30.65, inclusive. The reporting person undertakes to provide to Catalent, Inc., any security holder of Catalent, Inc., 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 October 23, 2009, the reporting person was granted an option to purchase 140,000 shares of common stock of the Issuer, which vest and become exercisable in five equal annual installments beginning on October 23, 2010.
Remarks
Senior Vice President, Global Operations