0001193125-19-244410.txt : 20190913 0001193125-19-244410.hdr.sgml : 20190913 20190913073039 ACCESSION NUMBER: 0001193125-19-244410 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 13 CONFORMED PERIOD OF REPORT: 20190910 ITEM INFORMATION: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20190913 DATE AS OF CHANGE: 20190913 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Catalent, Inc. CENTRAL INDEX KEY: 0001596783 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 208737688 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-36587 FILM NUMBER: 191091545 BUSINESS ADDRESS: STREET 1: 14 SCHOOLHOUSE ROAD CITY: SOMERSET STATE: NJ ZIP: 08873 BUSINESS PHONE: (732) 537-6200 MAIL ADDRESS: STREET 1: 14 SCHOOLHOUSE ROAD CITY: SOMERSET STATE: NJ ZIP: 08873 FORMER COMPANY: FORMER CONFORMED NAME: PTS Holdings Corp. DATE OF NAME CHANGE: 20140113 8-K 1 d800808d8k.htm 8-K 8-K
false 0001596783 0001596783 2019-09-10 2019-09-10

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, DC 20549

 

FORM 8-K

 

CURRENT REPORT

PURSUANT TO SECTION 13 OR 15(d)

OF THE SECURITIES EXCHANGE ACT OF 1934

Date of Report (Date of earliest event reported): September 10, 2019

 

CATALENT, INC.

(Exact name of registrant as specified in its charter)

 

Delaware

 

001-36587

 

20-8737688

(State or other jurisdiction

of Incorporation)

 

(Commission

File Number)

 

(IRS Employer

Identification Number)

     

14 Schoolhouse Road

Somerset, New Jersey

 

08873

(Address of registrant’s principal executive office)

 

(Zip code)

(732) 537-6200

(Registrant’s telephone number, including area code)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 203.425)

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class

 

Trading

symbols(s)

 

Name of each exchange

on which registered

Common Stock, $0.01 par value per share

 

CTLT

 

New York Stock Exchange

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company  

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  

 

 


Item 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.

On September 10, 2019, Catalent, Inc. (the “Company”) filed with the Delaware Secretary of State (the “Delaware Secretary”) an amendment to the certificate of designation of preferences, rights, and limitations (the “Certificate of Designation”) of Series A Convertible Preferred Stock, par value $0.01 per share (the “Series A Preferred”), it filed with the Delaware Secretary on May 16, 2019 (the “Original Filing Date”), thereby amending the definition of the security’s “Issue Date” from the Original Filing Date to May 17, 2019, the date on which the 650,000 outstanding shares of Series A Preferred were issued.

The amendment to the Certificate of Designation, effective as of September 10, 2019, is attached to this Current Report on Form 8-K as Exhibit 3.1 and incorporated by reference herein.

Item 9.01 Financial Statements and Exhibits.

d.    Exhibits. The following exhibit is filed as part of this Current Report on Form 8-K.

Exhibit
No.

   

Description

         
 

3.1*

   

Certificate of Amendment to Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock, Par Value $0.01 Per Share, of Catalent, Inc.

         
 

104

   

Cover Page Interactive File (the cover page tags are embedded within the Inline XBRL document).

* Filed herewith.

2


SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

Catalent, Inc.

     

 

(Registrant)

     

By:

 

/s/ Steven L. Fasman

 

Steven L. Fasman

     

 

Senior Vice President, General Counsel

and Secretary

Date: September 13, 2019

3

EX-3.1 2 d800808dex31.htm EX-3.1 EX-3.1

Exhibit 3.1

EXECUTION COPY

CATALENT, INC.

CERTIFICATE OF AMENDMENT

TO

CERTIFICATE OF DESIGNATION OF PREFERENCES,

RIGHTS AND LIMITATIONS

OF

SERIES A CONVERTIBLE PREFERRED STOCK

Catalent, Inc., a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), certifies that:

FIRST: The Corporation’s Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock (the “Certificate of Designation”) was filed with the Secretary of State of the State of Delaware on May 16, 2019.

SECOND: This Certificate of Amendment to the Certificate of Designation amends the Certificate of Designation as set forth below, was duly adopted by the Board of Directors of the Corporation in accordance with the provisions of Sections 141 and 242 of the General Corporation Law of the State of Delaware, and has been adopted and approved by the holders of the Corporation’s Series A Convertible Preferred Stock, par value $0.01 per share.

THIRD: The definition of “Issue Date” in Article XII of the Certificate of Designation is amended in its entirety to read as follows:

Issue Date” shall mean May 17, 2019.

FOURTH: Except as expressly modified by this Certificate of Amendment, the Certificate of Designation shall remain in full force and effect.

[Remainder of Page Intentionally Left Blank]


IN WITNESS WHEREOF, the Corporation has caused this Certificate of Amendment to the Certificate of Designation to be duly executed by its authorized officer this 10th day of September, 2019.

 

CATALENT, INC.
By:  

/s/ Steven L. Fasman

Name:   Steven L. Fasman
Title:   Senior Vice President, General Counsel and Secretary

[Signature Page to Certificate of Amendment to Certificate of Designation]

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Security Exchange Name NYSE
Entity Emerging Growth Company false
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