FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Catalent, Inc. [ CTLT ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 10/07/2020 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 10/07/2020 | M(1) | 11,845 | A | $20.5 | 50,463(2) | D | |||
Common Stock | 10/07/2020 | M(1) | 3,680 | A | $31.96 | 54,143(2) | D | |||
Common Stock | 10/07/2020 | M(1) | 8,560 | A | $24.44 | 62,703(2) | D | |||
Common Stock | 10/07/2020 | M(1) | 5,877 | A | $36.02 | 68,580(2) | D | |||
Common Stock | 10/07/2020 | M(1) | 2,078 | A | $42.23 | 70,658(2) | D | |||
Common Stock | 10/07/2020 | M(1) | 5,144 | A | $43.88 | 75,802(2) | D | |||
Common Stock | 10/07/2020 | M(1) | 2,158 | A | $54.94 | 77,960(2) | D | |||
Common Stock | 10/07/2020 | F(3) | 23,414 | D | $91.5 | 54,546(2) | D | |||
Common Stock | 10/07/2020 | S(4) | 15,928 | D | $91.5 | 38,618(2) | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Options to purchase Common Stock | $20.5 | 10/07/2020 | M(1) | 11,845 | (5) | 07/30/2024 | Common Stock | 11,845 | $0 | 0 | D | ||||
Options to purchase Common Stock | $31.96 | 10/07/2020 | M(1) | 3,680 | (6) | 08/27/2025 | Common Stock | 3,680 | $0 | 0 | D | ||||
Options to purchase Common Stock | $24.44 | 10/07/2020 | M(1) | 8,560 | (7) | 07/26/2026 | Common Stock | 8,560 | $0 | 0 | D | ||||
Options to purchase Common Stock | $36.02 | 10/07/2020 | M(1) | 5,877 | (8) | 07/24/2027 | Common Stock | 5,877 | $0 | 1,962 | D | ||||
Options to purchase Common Stock | $42.23 | 10/07/2020 | M(1) | 2,078 | (9) | 10/04/2027 | Common Stock | 2,078 | $0 | 2,081 | D | ||||
Options to purchase Common Stock | $43.88 | 10/07/2020 | M(1) | 5,144 | (10) | 07/23/2028 | Common Stock | 5,144 | $0 | 5,145 | D | ||||
Options to purchase Common Stock | $54.94 | 10/07/2020 | M(1) | 2,158 | (11) | 07/22/2029 | Common Stock | 2,158 | $0 | 6,476 | D |
Explanation of Responses: |
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. Represents shares sold pursuant to the Rule 10b5-1 trading plan noted in footnote 1. |
5. On July 30, 2014, the reporting person was granted options to purchase 47,378 shares of common stock of the Issuer which vest and become exercisable in four equal annual installments beginning on July 30, 2015. |
6. On August 27, 2015, the reporting person was granted options to purchase 7,358 shares of common stock of the Issuer which vest and become exercisable in four equal annual installments beginning on August 27, 2016. |
7. On July 26, 2016, the reporting person was granted options to purchase 11,413 shares of common stock of the Issuer which vest and become exercisable in four equal annual installments beginning on July 26, 2017. |
8. On July 24, 2017, the reporting person was granted options to purchase 7,839 shares of common stock of the Issuer which vest and become exercisable in four equal annual installments beginning on July 24, 2018. |
9. On October 4, 2017, the reporting person was granted options to purchase 4,159 shares of common stock of the Issuer which vest and become exercisable in four equal annual installments beginning on October 4, 2018. |
10. The options vest and become exercisable in four equal annual installments beginning on July 23, 2019. |
11. The options vest and become exercisable in four equal annual installments beginning on July 22, 2020. |
Remarks: |
/s/ Jose Ibietatorremendia, attorney-in-fact | 10/09/2020 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |