Filing Details

Accession Number:
0001596783-18-000152
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-10-03 17:53:16
Reporting Period:
2018-10-01
Accepted Time:
2018-10-03 17:53:16
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1596783 Catalent Inc. CTLT () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1482197 R John Chiminski C/O Catalent, Inc.
14 Schoolhouse Road
Somerset NJ 08873
Chair, President & Ceo Yes 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 2018-10-01 140,000 $18.71 413,485 No 4 M Direct
Common Stock Disposition 2018-10-01 93,500 $45.32 319,985 No 4 F Direct
Common Stock Acquisiton 2018-10-01 41,464 $20.50 361,449 No 4 M Direct
Common Stock Disposition 2018-10-01 28,617 $45.32 332,832 No 4 F Direct
Common Stock Acquisiton 2018-10-01 29,370 $24.26 362,202 No 4 M Direct
Common Stock Disposition 2018-10-01 21,652 $45.32 340,550 No 4 F Direct
Common Stock Acquisiton 2018-10-01 75,524 $24.44 416,074 No 4 M Direct
Common Stock Disposition 2018-10-01 55,839 $45.32 360,235 No 4 F Direct
Common Stock Disposition 2018-10-01 130,545 $45.32 229,690 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 F Direct
No 4 M Direct
No 4 F Direct
No 4 M Direct
No 4 F Direct
No 4 M Direct
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 2018-10-01 140,000 $0.00 140,000 $18.71
Common Stock Options to purchase Common Stock Disposition 2018-10-01 41,464 $0.00 41,464 $20.50
Common Stock Options to purchase Common Stock Disposition 2018-10-01 29,370 $0.00 29,370 $24.26
Common Stock Options to purchase Common Stock Disposition 2018-10-01 75,524 $0.00 75,524 $24.44
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2023-06-25 No 4 M Direct
0 2024-07-30 No 4 M Direct
9,790 2024-10-23 No 4 M Direct
75,525 2026-07-26 No 4 M Direct
Footnotes
  1. This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in order to implement a plan of financial diversification.
  2. Includes restricted stock units.
  3. 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.
  4. Volume-weighted average price. These shares were sold in multiple transactions at prices ranging from $45.06 to $45.88, 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 purchased at each separate price within the range set forth in this footnote.
  5. On June 25, 2013, the reporting person was granted options to purchase 350,000 shares of common stock of the Issuer, which vest and become exercisable in five equal annual installments (beginning on June 25, 2014) upon the satisfaction of certain performance criteria. The performance criteria were met in respect of 140,000 options. The remaining 210,000 options have been cancelled. (S1101)
  6. On July 30, 2014, the reporting person was granted options to purchase 41,464 shares of common stock of the Issuer, which vest and become exercisable in four equal annual installments beginning on July 30, 2015. (S1215)
  7. On October 23, 2014, the reporting person was granted options to purchase 39,160 shares of common stock of the Issuer, which vest and become exercisable in four equal annual installments beginning on October 23, 2015. (S1251)
  8. On July 26, 2016, the reporting person was granted options to purchase 151,049 shares of common stock of the Issuer which vest and become exercisable in four equal installments beginning July 26, 2017. (S62)