0001209191-21-062273.txt : 20211102 0001209191-21-062273.hdr.sgml : 20211102 20211101210905 ACCESSION NUMBER: 0001209191-21-062273 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211028 FILED AS OF DATE: 20211101 DATE AS OF CHANGE: 20211101 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Zippelius Peter CENTRAL INDEX KEY: 0001775433 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36587 FILM NUMBER: 211368972 MAIL ADDRESS: STREET 1: 11111 SANTA MONICA BLVD., SUITE 2000 CITY: LOS ANGELES STATE: CA ZIP: 90025 ISSUER: 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 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-10-28 0 0001596783 Catalent, Inc. CTLT 0001775433 Zippelius Peter 11111 SANTA MONICA BLVD. SUITE 2000 LOS ANGELES CA 90025 1 0 0 0 Common Stock 2021-10-28 4 A 0 1402 0.00 A 7830 D Series A Convertible Preferred Stock 49.5409 Common Stock 7766855 384777 I See footnote Represents shares of Common Stock of the Issuer, par value $0.01 per share (the "Common Stock") underlying restricted stock units awarded to the reporting person in connection with his service as a member of the Issuer's board of directors and comprising the regular, annual grant of restricted stock units provided to non-management directors pursuant to the Issuer's non-management director compensation package. Each restricted stock unit represents the right to receive one share of Common Stock as of the date of vesting which will occur on the earlier of one year from the date of the award and the date of the Issuer's fiscal 2022 annual meeting of shareholders. Granted as compensation for services. Represents shares of Common Stock and shares of Common Stock underlying restricted stock units. The shares reported on this row are held by Mr. Zippelius for the benefit of Leonard Green & Partners, L.P. Each restricted stock unit represents the right to receive one share of Common Stock. Of the 7,830 shares of Common Stock reported, 1,402 will vest on the earlier of October 28, 2022 and the date of the Issuer's fiscal 2022 annual meeting of shareholders. Series A Convertible Preferred Stock, par value $0.01 per share ("Series A Convertible Preferred Stock"). The Series A Convertible Preferred Stock was acquired for $1,000.00 per share and is convertible into Common Stock of the Issuer at a conversion price of $49.5409 per share. The conversion price is subject to certain anti-dilution and other adjustments. Immediately. The Series A Convertible Preferred Stock does not have an expiration date. Green Equity Investors VII, L.P. ("GEI VII"), Green Equity Investors Side VII, L.P. ("GEI Side VII"), LGP Associates VII-A LLC ("Associates VII-A") and LGP Associates VII-B LLC ("Associates VII-B") are the direct owners of the shares reported herein Of the shares reported, 171,928 are owned by GEI VII, 203,156 are owned by GEI Side VII, 972 are owned by Associates VII-A, and 8,721 are owned by Associates VII-B. Mr. Zippelius directly (whether through ownership or position), or indirectly through one or more intermediaries, may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of the shares owned by GEI VII, GEI Side VII, Associates VII-A, and Associates VII-B. Mr. Zippelius disclaims beneficial ownership of the shares held by each of GEI VII, GEI Side VII, Associates VII-A, and Associates VII-B except to the extent of his pecuniary interest therein, and this report shall not otherwise be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. /s/ Andrew C. Goldberg, as attorney-in-fact 2021-11-01