Statement of Changes in Beneficial Ownership (4)
March 22 2017 - 7:07PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Downie William
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2. Issuer Name
and
Ticker or Trading Symbol
Catalent, Inc.
[
CTLT
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
See Remarks
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(Last)
(First)
(Middle)
C/O CATALENT, INC., 14 SCHOOLHOUSE ROAD
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3. Date of Earliest Transaction
(MM/DD/YYYY)
3/20/2017
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(Street)
SOMERSET, NJ 08873
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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3/20/2017
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M
(1)
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6202
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A
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$18.71
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34604
(2)
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D
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Common Stock
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3/20/2017
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F
(3)
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5054
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D
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$28.76
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29550
(2)
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D
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Common Stock
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3/20/2017
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S
(4)
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574
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D
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$28.60
(5)
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28976
(2)
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D
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Common Stock
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3/20/2017
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M
(1)
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1031
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A
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$10.71
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30007
(2)
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D
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Common Stock
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3/20/2017
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F
(3)
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689
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D
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$28.76
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29318
(2)
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D
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Common Stock
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3/20/2017
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S
(4)
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171
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D
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$28.60
(5)
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29147
(2)
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D
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Common Stock
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3/20/2017
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M
(1)
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35000
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A
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$10.71
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64147
(2)
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D
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Common Stock
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3/20/2017
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F
(3)
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23416
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D
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$28.53
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40731
(2)
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D
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Common Stock
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3/20/2017
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S
(4)
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5792
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D
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$28.60
(5)
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34939
(2)
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D
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Common Stock
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3/20/2017
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M
(1)
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10122
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A
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$20.50
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45061
(2)
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D
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Common Stock
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3/20/2017
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F
(3)
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8582
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D
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$28.76
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36479
(2)
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D
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Common Stock
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3/20/2017
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S
(4)
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770
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D
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$28.60
(5)
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35709
(2)
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D
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Common Stock
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3/20/2017
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M
(1)
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5748
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A
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$10.71
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41457
(2)
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D
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Common Stock
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3/20/2017
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F
(3)
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3837
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D
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$28.76
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37620
(2)
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D
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Common Stock
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3/20/2017
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S
(4)
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955
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D
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$28.60
(5)
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36665
(2)
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Options to purchase Common Stock
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$18.71
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3/20/2017
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M
(1)
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6202
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6/25/2014
(6)
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6/25/2023
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Common Stock
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6202.0
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$0
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0
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D
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Options to purchase Common Stock
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$10.71
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3/20/2017
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M
(1)
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1031
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10/23/2010
(7)
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10/23/2019
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Common Stock
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1031.0
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$0
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0
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D
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Options to purchase Common Stock
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$10.71
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3/20/2017
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M
(1)
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35000
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10/23/2010
(8)
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10/23/2019
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Common Stock
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35000.0
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$0
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0
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D
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Options to purchase Common Stock
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$20.5
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3/20/2017
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M
(1)
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10122
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7/30/2015
(9)
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7/30/2024
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Common Stock
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10122.0
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$0
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10122
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D
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Options to purchase Common Stock
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$10.71
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3/20/2017
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M
(1)
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5748
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10/23/2010
(10)
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10/23/2019
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Common Stock
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5748.0
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$0
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29252
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D
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Explanation of Responses:
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(
1)
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This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 17, 2017 in order to implement a plan of financial diversification.
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(
2)
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Includes restricted stock units.
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(
3)
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Represents shares withheld to pay the exercise price and applicable withholding taxes associated with the exercise of stock options pursuant to the Rule 10b5-1 trading plan noted in footnote 1.
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(
4)
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Represents shares sold pursuant to the Rule 10b5-1 trading plan in footnote 1.
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(
5)
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These shares were sold in multiple transactions at prices ranging from $28.26 to $28.79, 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.
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(
6)
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On June 25, 2013, the reporting person was granted an option to purchase 31,010 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.
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(
7)
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On October 23, 2009, the reporting person was granted an option to purchase 105,000 shares of common stock of the Issuer, which vest and become exercisable in five equal annual installments beginning on October 23, 2010.
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(
8)
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On October 23, 2009, the reporting person was granted an option to purchase 35,000 shares of common stock of the Issuer which vest and become exercisable in five equal annual installments beginning on October 23, 2010.
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(
9)
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On July 30, 2014, the reporting person was granted an option to purchase 20,244 shares of common stock of the Issuer, which vest and become exercisable in four equal annual installments beginning on July 30, 2015.
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(
10)
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On October 23, 2009, the reporting person was granted an option to purchase 35,000 shares of common stock of the Issuer which vest and become exercisable in five equal annual installments beginning on October 23, 2010.
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Remarks:
Senior Vice President, Global Sales & Marketing
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Downie William
C/O CATALENT, INC.
14 SCHOOLHOUSE ROAD
SOMERSET, NJ 08873
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See Remarks
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Signatures
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/s/ Christine Caputo, by power of attorney
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3/22/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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