SEC Form 4 · accession 0001633970-15-000011
Catalent, Inc. · CTLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott Houlton
Officer — See Remarks
Period of report
Apr 1, 2015
Accepted (ET)
Apr 3, 2015 · 5:29 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 | Apr 1, 2015 | M | 56,290 | $10.71 | A | 74,571 | D | |
| Common Stock | Apr 1, 2015 | F | 36,598 | $30.61 | D | 37,973 | D | |
| Common StockF2 | Apr 1, 2015 | S | 14,827 | $30.61 | D | 23,146 | D | |
| Common Stock | Apr 1, 2015 | M | 25,967 | $10.71 | A | 49,113 | D | |
| Common Stock | Apr 1, 2015 | F | 16,883 | $30.61 | D | 32,230 | D | |
| Common Stock | Apr 1, 2015 | M | 9,352 | $18.57 | A | 41,582 | D | |
| Common Stock | Apr 1, 2015 | F | 7,373 | $30.61 | D | 34,209 | D | |
| Common StockF2 | Apr 1, 2015 | S | 851 | $30.61 | D | 33,358 | D | |
| Common Stock | Apr 1, 2015 | M | 6,426 | $18.71 | A | 39,784 | D | |
| Common Stock | Apr 1, 2015 | F | 5,082 | $30.61 | D | 34,702 | D | |
| Common StockF2 | Apr 1, 2015 | S | 575 | $30.61 | D | 34,127 | 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 | Apr 1, 2015 | M | 56,290 | D | Oct 23, 2010 | Oct 23, 2019 | Common Stock | 56,290 | 0 | D |
| Options to purchase common stockF4 | $10.71 | Apr 1, 2015 | M | 25,967 | D | Oct 23, 2010 | Oct 23, 2019 | Common Stock | 25,967 | 0 | D |
| Options to purchase common stockF5 | $18.57 | Apr 1, 2015 | M | 9,352 | D | Apr 1, 2013 | May 25, 2022 | Common Stock | 9,352 | 8,148 | D |
| Options to purchase common stockF6 | $18.71 | Apr 1, 2015 | M | 6,426 | D | Jun 25, 2014 | Jun 25, 2023 | Common Stock | 6,426 | 25,704 | 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 $30.21 to $30.94, 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 October 23, 2009, the reporting person was granted an option to purchase 87,500 shares of common stock of the Issuer, which vest and become exercisable in five equal annual installments beginning on October 23, 2010.
- F4On October 23, 2009, the reporting person was granted an option to purchase 29,260 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 29,260 shares.
- F5On June 25, 2012, 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 April 1, 2013.
- F6On June 25, 2013, the reporting person was granted an option to purchase 32,130 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 6,426 shares.
Remarks
President, Development & Clinical Services