Initial Statement of Beneficial Ownership (3)
November 06 2017 - 11:52AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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
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Arnold Jonathan
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2. Date of Event Requiring Statement (MM/DD/YYYY)
11/2/2017
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3. Issuer Name
and
Ticker or Trading Symbol
Catalent, Inc. [CTLT]
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(Last)
(First)
(Middle)
C/O CATALENT, INC., 14 SCHOOLHOUSE ROAD
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
President, Oral Drug Delivery /
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(Street)
SOMERSET, NJ 08873
(City)
(State)
(Zip)
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5. 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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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28759
(1)
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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. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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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(2)
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7/30/2024
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Common Stock
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11845.0
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$20.5
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D
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Options to purchase Common Stock
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(3)
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8/27/2025
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Common Stock
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3680.0
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$31.96
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D
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Options to purchase Common Stock
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(4)
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7/26/2026
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Common Stock
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8560.0
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$24.44
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D
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Options to purchase Common Stock
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(5)
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7/24/2027
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Common Stock
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7839.0
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$36.02
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D
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Options to purchase Common Stock
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(6)
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10/4/2027
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Common Stock
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4159.0
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$42.23
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D
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Explanation of Responses:
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(1)
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Includes restricted stock units.
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(2)
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On July 30, 2014, the reporting person was granted options to purchase 47,378 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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(3)
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On August 27, 2015, the reporting person was granted options to purchase 7,358 shares of common stock of the Issuer which vest and become exercisable in four equal annual installments beginning on August 27, 2016.
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(4)
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On July 26, 2016, the reporting person was granted options to purchase 11,413 shares of common stock of the Issuer which vest and become exercisable in four equal annual installments beginning on July 26, 2017.
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(5)
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On July 24, 2017, the reporting person was granted options to purchase 7,839 shares of common stock of the Issuer which vest and become exercisable in four equal annual installments beginning on July 24, 2018.
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(6)
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On October 4, 2017, the reporting person was granted options to purchase 4,159 shares of common stock of the Issuer which vest and become exercisable in four equal annual installments beginning on October 4, 2018.
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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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Arnold Jonathan
C/O CATALENT, INC.
14 SCHOOLHOUSE ROAD
SOMERSET, NJ 08873
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President, Oral Drug Delivery
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Signatures
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/s/ Jose Ibietatorremendia, attorney-in-fact
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11/6/2017
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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 5(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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