SEC Form 4 · accession 0001633970-15-000042
Catalent, Inc. · CTLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sharon Johnson
Officer — See Remarks
Period of report
Sep 2, 2015
Accepted (ET)
Sep 4, 2015 · 5:49 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001596783
Table I — non-derivative securities
No Table I lines on this filing.
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 stockF1 | $18.57 | Sep 2, 2015 | A | 784 | A | Jun 30, 2013 | Jun 30, 2022 | Common Stock | 784 | 2,352 | D |
| Options to purchase common stockF3,F2 | $18.71 | Sep 2, 2015 | A | 5,824 | A | Jun 25, 2014 | Jun 25, 2023 | Common Stock | 5,824 | 8,786 | D |
Explanation of responses
- F1On June 30, 2012, the reporting person was granted an option to purchase 3,920 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 2013, 2014, 2015, 2016 and 2017. The performance criteria for 2013, 2014 and 2015 were met, resulting in vesting of the option as to 2,352 shares in the aggregate.
- F2On June 25, 2013, the reporting person was granted an option to purchase 29,120 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 and 2015 were met, resulting in vesting of the option as to 11,648 shares in the aggregate. On February 13, 2014, the reporting person exercised 2,862 options of such vesting as reported on the Statement of Changes in Beneficial Ownership on Form 4, filed with the Securities and Exchange Commission on February 19, 2015.
- F3The Statement of Changes in Beneficial Ownership on Form 4, filed with the Securities and Exchange Commission on February 19, 2015, incorrectly stated that the number of derivative securities beneficially owned by the reporting person following the transaction that occurred on February 13, 2015 was 26,258, which included the portion of the option that had not vested. The correct number of derivative securities beneficially owned by the reporting person following the February 13, 2015 transaction and this transaction is 8,786 in the aggregate.
Remarks
Senior Vice President - Quality, Product Development & Regulatory Affairs