Filing Details
- Accession Number:
- 0001596783-17-000030
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-04-27 11:02:19
- Reporting Period:
- 2017-04-25
- Filing Date:
- 2017-04-27
- Accepted Time:
- 2017-04-27 11:02:19
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1596783 | Catalent Inc. | CTLT | Pharmaceutical Preparations (2834) | 208737688 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1612208 | Sharon Johnson | C/O Catalent, Inc. 14 Schoolhouse Road Somerset NJ 08873 | See Remarks | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2017-04-25 | 5,116 | $10.71 | 26,781 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-04-25 | 3,407 | $29.00 | 23,374 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2017-04-25 | 854 | $29.00 | 22,520 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-04-25 | 31,150 | $10.71 | 53,670 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-04-25 | 20,741 | $29.00 | 32,929 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2017-04-25 | 5,204 | $29.00 | 27,725 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-04-25 | 632 | $18.57 | 28,357 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-04-25 | 512 | $29.00 | 27,845 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2017-04-25 | 60 | $29.00 | 27,785 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-04-25 | 3,850 | $18.57 | 31,635 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-04-25 | 3,117 | $29.00 | 28,518 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2017-04-25 | 366 | $29.00 | 28,152 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-04-25 | 2,352 | $18.57 | 30,504 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-04-25 | 1,904 | $29.00 | 28,600 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2017-04-25 | 224 | $29.00 | 28,376 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-04-25 | 9,352 | $18.57 | 37,728 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-04-25 | 7,570 | $29.00 | 30,158 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2017-04-25 | 891 | $29.00 | 29,267 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-04-25 | 8,786 | $18.71 | 38,053 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-04-25 | 7,135 | $29.00 | 30,918 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2017-04-25 | 825 | $29.00 | 30,093 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-04-25 | 9,478 | $20.50 | 39,571 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-04-25 | 8,006 | $29.00 | 31,565 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2017-04-25 | 736 | $29.00 | 30,829 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct | |
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| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Options to purchase Common Stock | Disposition | 2017-04-25 | 5,116 | $0.00 | 5,116 | $10.71 |
| Common Stock | Options to purchase Common Stock | Disposition | 2017-04-25 | 31,150 | $0.00 | 31,150 | $10.71 |
| Common Stock | Options to purchase Common Stock | Disposition | 2017-04-25 | 2,352 | $0.00 | 2,352 | $18.57 |
| Common Stock | Options to purchase Common Stock | Disposition | 2017-04-25 | 9,352 | $0.00 | 9,352 | $18.57 |
| Common Stock | Options to purchase Common Stock | Disposition | 2017-04-25 | 632 | $0.00 | 632 | $18.57 |
| Common Stock | Options to purchase Common Stock | Disposition | 2017-04-25 | 3,850 | $0.00 | 3,850 | $18.57 |
| Common Stock | Options to purchase Common Stock | Disposition | 2017-04-25 | 8,786 | $0.00 | 8,786 | $18.71 |
| Common Stock | Options to purchase Common Stock | Disposition | 2017-04-25 | 9,478 | $0.00 | 9,478 | $20.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 31,150 | 2016-09-09 | 2019-10-23 | No | 4 | M | Direct |
| 0 | 2016-09-09 | 2019-10-23 | No | 4 | M | Direct |
| 0 | 2013-06-30 | 2022-06-30 | No | 4 | M | Direct |
| 2,338 | 2022-06-30 | No | 4 | M | Direct | |
| 3,850 | 2016-09-09 | 2022-06-30 | No | 4 | M | Direct |
| 0 | 2016-09-09 | 2022-06-30 | No | 4 | M | Direct |
| 0 | 2014-06-25 | 2023-06-25 | No | 4 | M | Direct |
| 9,478 | 2024-07-30 | No | 4 | M | Direct |
Footnotes
- This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 27, 2017 in order to implement a plan of financial diversification.
- Includes restricted stock units.
- Represents shares withheld to pay the exercise price and applicable withholding taxes associated with the exercise of stock options.
- On 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.
- On June 30, 2012, the reporting person was granted an option to purchase 11,690 shares of common stock of the Issuer, which vest and become exercisable in five equal annual installments beginning on April 1, 2013.
- On 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 July 30, 2014, the reporting person was granted an option to purchase 18,956 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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