SEC Form 4 · accession 0001633970-15-000016
Catalent, Inc. · CTLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John R Chiminski
Officer — See Remarks · Director
Period of report
Jul 6, 2015
Accepted (ET)
Jul 8, 2015 · 8:42 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 StockF2 | Jul 6, 2015 | M | 100,000 | $10.71 | A | 440,118 | D | |
| Common StockF2 | Jul 6, 2015 | F | 66,172 | $29.34 | D | 373,946 | D | |
| Common StockF5,F2 | Jul 6, 2015 | S | 33,828 | $29.34 | D | 340,118 | 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 stockF6 | $10.71 | Jul 6, 2015 | M | 100,000 | A | Oct 23, 2010 | Oct 23, 2019 | Common Stock | 100,000 | 57,500 | D |
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 29, 2015 in order to implement a plan of financial diversification.
- F2Includes restricted stock units.
- F3Represents shares withheld to pay the exercise price and applicable withholding taxes associated with the exercise of stock options pursuant to the 10b5-1 trading plan noted in footnote 1.
- F4Represents the shares sold pursuant to the 10b5-1 trading plan noted in footnote 1.
- F5These shares were sold in multiple transactions at prices ranging from $29.72 to $29.00, 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.
- F6On October 23, 2009, the reporting person was granted an option to purchase 157,500 shares of common stock of the Issuer which vested and became 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 all 157,500 shares.
Remarks
President & Chief Executive Officer