Filing Details

Accession Number:
0001596783-18-000156
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-10-17 12:28:54
Reporting Period:
2018-10-15
Accepted Time:
2018-10-17 12:28:54
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
1612209 Barry Littlejohns C/O Catalent, Inc.
14 Schoolhouse Road
Somerset NJ 08873
President, Biologics & Sdd 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 2018-10-15 87,500 $14.86 125,218 No 4 M Direct
Common Stock Disposition 2018-10-15 58,940 $41.64 66,278 No 4 F Direct
Common Stock Acquisiton 2018-10-15 23,408 $14.86 89,686 No 4 M Direct
Common Stock Disposition 2018-10-15 15,768 $41.64 73,918 No 4 F Direct
Common Stock Acquisiton 2018-10-15 4,783 $14.86 78,701 No 4 M Direct
Common Stock Disposition 2018-10-15 3,222 $41.64 75,479 No 4 F Direct
Common Stock Acquisiton 2018-10-15 29,120 $14.86 104,599 No 4 M Direct
Common Stock Disposition 2018-10-15 19,616 $41.64 84,983 No 4 F Direct
Common Stock Disposition 2018-10-15 47,265 $41.64 37,718 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 2018-10-15 87,500 $0.00 87,500 $14.86
Common Stock Options to purchase Common Stock Disposition 2018-10-15 23,408 $0.00 23,408 $14.86
Common Stock Options to purchase Common Stock Disposition 2018-10-15 4,783 $0.00 4,783 $14.86
Common Stock Options to purchase Common Stock Disposition 2018-10-15 29,120 $0.00 29,120 $14.86
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2021-09-15 No 4 M Direct
0 2021-09-15 No 4 M Direct
29,120 2016-09-09 2021-09-15 No 4 M Direct
0 2016-09-09 2021-09-15 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 $41.50 to $41.94, 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.
  5. On September 15, 2011, the reporting person was granted an option to purchase 87,500 shares of common stock of the Issuer, which vested and became exercisable in five equal annual installments beginning on September 15, 2012. (S1034)
  6. On September 15, 2011, the reporting person was granted options to purchase 29,260 shares of common stock of the Issuer, which vested and became exercisable in five equal annual installments (beginning on September 15, 2012) upon the satisfaction of certain performance criteria. The performance criteria were met in respect of 23,408 options. The remaining 5,852 options have been cancelled. (S1077)