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