0001596783-18-000156.txt : 20181017 0001596783-18-000156.hdr.sgml : 20181017 20181017122854 ACCESSION NUMBER: 0001596783-18-000156 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181015 FILED AS OF DATE: 20181017 DATE AS OF CHANGE: 20181017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Littlejohns Barry CENTRAL INDEX KEY: 0001612209 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36587 FILM NUMBER: 181125871 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 1 wf-form4_153979371849966.xml FORM 4 X0306 4 2018-10-15 0 0001596783 Catalent, Inc. CTLT 0001612209 Littlejohns Barry C/O CATALENT, INC. 14 SCHOOLHOUSE ROAD SOMERSET NJ 08873 0 1 0 0 President, Biologics & SDD Common Stock 2018-10-15 4 M 0 87500 14.86 A 125218 D Common Stock 2018-10-15 4 F 0 58940 41.64 D 66278 D Common Stock 2018-10-15 4 M 0 23408 14.86 A 89686 D Common Stock 2018-10-15 4 F 0 15768 41.64 D 73918 D Common Stock 2018-10-15 4 M 0 4783 14.86 A 78701 D Common Stock 2018-10-15 4 F 0 3222 41.64 D 75479 D Common Stock 2018-10-15 4 M 0 29120 14.86 A 104599 D Common Stock 2018-10-15 4 F 0 19616 41.64 D 84983 D Common Stock 2018-10-15 4 S 0 47265 41.64 D 37718 D Options to purchase Common Stock 14.86 2018-10-15 4 M 0 87500 0 D 2021-09-15 Common Stock 87500.0 0 D Options to purchase Common Stock 14.86 2018-10-15 4 M 0 23408 0 D 2021-09-15 Common Stock 23408.0 0 D Options to purchase Common Stock 14.86 2018-10-15 4 M 0 4783 0 D 2016-09-09 2021-09-15 Common Stock 4783.0 29120 D Options to purchase Common Stock 14.86 2018-10-15 4 M 0 29120 0 D 2016-09-09 2021-09-15 Common Stock 29120.0 0 D 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. Includes restricted stock units. 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. 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. 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) 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) /s/ Jose Ibietatorremendia, attorney-in-fact 2018-10-17