0001596783-23-000209.txt : 20231212 0001596783-23-000209.hdr.sgml : 20231212 20231212191954 ACCESSION NUMBER: 0001596783-23-000209 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230823 FILED AS OF DATE: 20231212 DATE AS OF CHANGE: 20231212 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lickfold Charles CENTRAL INDEX KEY: 0001940477 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36587 FILM NUMBER: 231482549 MAIL ADDRESS: STREET 1: C/O CATALENT, INC. STREET 2: 14 SCHOOLHOUSE ROAD CITY: SOMERSET STATE: NJ ZIP: 08873 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/A 1 wk-form4a_1702426781.xml FORM 4/A X0508 4/A 2023-08-23 2023-08-25 1 0001596783 Catalent, Inc. CTLT 0001940477 Lickfold Charles C/O CATALENT, INC. 14 SCHOOLHOUSE ROAD SOMERSET NJ 08873 0 1 0 0 SVP, CIO 0 Common Stock 2023-08-23 4 J 0 637 0 D 10702 D Common Stock 2023-08-24 4 J 0 190 A 10892 D This amendment is being filed to reflect the reversal of the acquisition of shares received by the reporting person upon the achievement of the fiscal 2021-23 performance-based vesting criteria set forth in certain incentive compensation held by the reporting person under the Issuer's long-term incentive plan, as reported in the original form 4 filed on August 25, 2023 (the "Original Form 4"). Due to the ongoing review of the Issuer's fiscal 2021-23 performance-based vesting criteria, the Compensation and Leadership Committee of the Issuer rescinded its prior approval of the vesting criteria and confirmed that the reporting person had no right to the shares previously reported on the Original Form 4. Includes restricted stock units. This amendment is also being filed to reflect the reversal of the disposition of shares sold by the reporting person through an automatic "sell to cover" transaction in order to cover tax withholding obligations in connection with the vesting of performance share units pursuant to the Issuer's long-term incentive plan, as reported on the Original Form 4. /s/ Amy Fallone, attorney-in-fact 2023-12-12