SEC Form 4 · accession 0001633970-15-000018
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
Jul 27, 2015
Accepted (ET)
Jul 29, 2015 · 1:58 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 StockF2 | Jul 27, 2015 | M | 18,690 | $14.29 | A | 102,810 | D | |
| Common StockF2 | Jul 27, 2015 | F | 13,574 | $30.50 | D | 89,236 | D | |
| Common StockF2 | Jul 27, 2015 | S | 5,116 | $31.18 | D | 84,120 | D | |
| Common StockF2 | Jul 27, 2015 | M | 19,267 | $10.71 | A | 103,387 | D | |
| Common StockF2 | Jul 27, 2015 | F | 12,831 | $30.50 | D | 90,556 | D | |
| Common StockF2 | Jul 27, 2015 | S | 6,436 | $31.18 | D | 84,120 | D | |
| Common StockF2 | Jul 27, 2015 | M | 46,760 | $10.71 | A | 130,880 | D | |
| Common StockF2 | Jul 27, 2015 | F | 31,140 | $30.50 | D | 99,740 | D | |
| Common StockF2 | Jul 27, 2015 | S | 15,620 | $31.18 | 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 stockF5 | $14.29 | Jul 27, 2015 | M | 18,690 | A | Apr 17, 2009 | Apr 17, 2018 | Common Stock | 18,690 | 0 | D |
| Options to purchase common stockF6 | $10.71 | Jul 27, 2015 | M | 19,267 | A | Oct 23, 2010 | Oct 23, 2019 | Common Stock | 19,267 | 0 | D |
| Options to purchase common stockF7 | $10.71 | Jul 27, 2015 | M | 46,760 | A | Oct 23, 2010 | Oct 23, 2019 | Common Stock | 46,760 | 0 | 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.
- F5On April 17, 2008, the reporting person was granted an option to purchase 18,690 shares of common stock of the Issuer, which vested and became exercisable in five equal annual installments beginning on April 17, 2009.
- F6On October 23, 2009, the reporting person was granted an option to purchase 121,310 shares of common stock of the Issuer, which vested and became exercisable in five equal annual installments beginning on October 23, 2010.
- F7On October 23, 2009, the reporting person was granted an option to purchase 46,760 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 all 46,760 shares.
Remarks
Executive Vice President & Chief Financial Officer