SEC Form 4 · accession 0001633970-15-000012
Catalent, Inc. · CTLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew M Walsh
Officer — See Remarks
Period of report
Apr 6, 2015
Accepted (ET)
Apr 8, 2015 · 11:08 am 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 StockF1 | Apr 6, 2015 | S | 2,000 | $30.43 | D | 82,503 | D | |
| Common Stock | Apr 6, 2015 | M | 102,043 | $10.71 | A | 184,546 | D | |
| Common Stock | Apr 6, 2015 | F | 67,987 | $30.43 | D | 116,559 | D | |
| Common StockF1 | Apr 6, 2015 | S | 32,439 | $30.43 | D | 84,120 | 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 6, 2015 | M | 102,043 | D | Oct 23, 2010 | Oct 23, 2019 | Comon Stock | 102,043 | 19,267 | D |
Explanation of responses
- F1These shares were sold in multiple transactions at prices ranging from $30.72 to $30.34, 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.
- F2Represents shares withheld to pay the exercise price and applicable withholding taxes associated with the exercise of stock options.
- F3On October 23, 2009, the reporting person was granted an option to purchase 121,310 shares of common stock of the Issuer, which vest and become exercisable in five equal annual installments beginning on October 23, 2010.
Remarks
Executive Vice President and Chief Financial Officer