SEC Form 4 · accession 0001633970-15-000010

Catalent, Inc. · CTLT

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

Reporting owner

Aristippos Gennadios

Officer — See Remarks

Period of report

Apr 1, 2015

Accepted (ET)

Apr 3, 2015 · 5:00 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	Apr 1, 2015	M	4,690	$12.14	A	12,606	D
Common Stock	Apr 1, 2015	F	3,072	$30.61	D	9,534	D
Common Stock^F2	Apr 1, 2015	S	883	$30.61	D	8,651	D
Common Stock	Apr 1, 2015	M	30,310	$10.71	A	38,961	D
Common Stock	Apr 1, 2015	F	17,227	$30.61	D	21,734	D
Common Stock^F2	Apr 1, 2015	S	13,083	$30.61	D	8,651	D
Common Stock	Apr 1, 2015	M	11,760	$10.71	A	20,411	D
Common Stock	Apr 1, 2015	F	6,703	$30.61	D	13,708	D
Common Stock^F2	Apr 1, 2015	S	5,057	$30.61	D	8,651	D
Common Stock	Apr 1, 2015	M	14,000	$12.14	A	22,651	D
Common Stock	Apr 1, 2015	F	9,625	$30.61	D	13,026	D
Common Stock^F2	Apr 1, 2015	S	4,375	$30.61	D	8,651	D
Common Stock	Apr 1, 2015	M	4,704	$12.14	A	13,355	D
Common Stock	Apr 1, 2015	F	3,234	$30.61	D	10,121	D
Common Stock^F2	Apr 1, 2015	S	1,470	$30.61	D	8,651	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^F3	$14.29	Apr 1, 2015	M	4,690	D	May 7, 2008	May 7, 2017	Common Stock	4,690	0	D
Options to purchase common stock^F4	$10.71	Apr 1, 2015	M	30,310	D	Oct 23, 2010	Oct 23, 2019	Common Stock	30,310	0	D
Options to purchase common stock^F5	$10.71	Apr 1, 2015	M	11,760	D	Oct 23, 2010	Oct 23, 2019	CommonStock	11,760	0	D
Options to purchase common stock^F6	$12.14	Apr 1, 2015	M	14,000	D	Feb 8, 2012	Feb 8, 2021	Common Stock	14,000	3,500	D
Options to purchase common stock^F7	$12.14	Apr 1, 2015	M	4,704	D	Feb 8, 2012	Feb 8, 2021	common Stock	4,704	1,176	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 $30.19 to $30.93, 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 May 7, 2007, the reporting person was granted an option to purchase 4,690 shares of common stock of the Issuer, which vested and became exercisable in five equal annual installments beginning on May 7, 2008.
F4On October 23, 2009, the reporting person was granted an option to purchase 30,310 shares of common stock of the Issuer, which vest and become exercisable in five equal annual installments beginning on October 23, 2010.
F5On October 23, 2009, the reporting person was granted an option to purchase 11,760 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, resulting in vesting of the option as to 11,760 shares.
F6On February 8, 2011, the reporting person was granted an option to purchase 17,500 shares of common stock of the Issuer, which vest and become exercisable in five equal annual installments beginning on February 8, 2012.
F7On February 8, 2011, the reporting person was granted an option to purchase 5,880 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 2011, 2012, 2013, 2014 and 2015. The performance criteria for 2011, 2012, 2013 and 2014 were met, resulting in vesting of the option as to 4,704 shares.

Remarks

President, Softgel Technologies