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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 8-K

 

 

CURRENT REPORT

Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): January 26, 2024 (January 25, 2024)

 

 

CATALENT, INC.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   001-36587   20-8737688
(State or other jurisdiction
of incorporation)
 

(Commission

File Number)

  (IRS Employer
Identification No.)

 

14 Schoolhouse Road  
Somerset, New Jersey   08873
(Address of principal executive offices)   (Zip Code)

(732) 537-6200

(Registrant’s telephone number, including area code)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 203.425)

 

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class

 

Trading
Symbols(s)

 

Name of each exchange

on which registered

Common Stock, $0.01 par value per share   CTLT   New York Stock Exchange

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company  

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ☐

 

 

 


Item 5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

On January 25, 2024, Catalent, Inc. (the “Company”) held its 2023 Annual Meeting of Shareholders (the “2023 Annual Meeting”), at which shareholders approved, among other things, Amendment No. 1 to the Catalent, Inc. 2018 Omnibus Incentive Plan (the “Plan Amendment”). A description of the Plan Amendment is included in the Company’s definitive Proxy Statement on Schedule 14A filed with the Securities and Exchange Commission on December 14, 2023 (as supplemented, the “Proxy Statement”), which description is incorporated herein by reference. Such description does not purport to be complete, and is qualified in its entirety by reference to the Plan Amendment, a copy of which is attached hereto as Exhibit 10.1.

 

Item 5.07

Submission of Matters to a Vote of Security Holders.

On January 25, 2024, the Company held its 2023 Annual Meeting. The final voting results for the matters submitted to a vote of shareholders were as follows:

Proposal No. 1 - Election of Directors

The Company’s shareholders elected the persons listed below as directors for a one-year term expiring at the 2024 annual meeting or until their respective successors are duly elected and qualified, or until their earlier death, resignation or removal.

 

     FOR      AGAINST      ABSTAIN      BROKER
NON-VOTES
 

Michael J. Barber

     152,182,935        4,685,425        490,345        5,823,972  

Steven K. Barg

     155,830,571        1,038,688        489,446        5,823,972  

J. Martin Carroll

     146,141,589        10,738,936        478,180        5,823,972  

Rolf Classon

     141,479,801        15,398,832        480,072        5,823,972  

Frank A. D’Amelio

     154,451,256        2,417,574        489,875        5,823,972  

John J. Greisch

     153,696,212        3,182,821        479,672        5,823,972  

Gregory T. Lucier

     151,114,613        5,764,258        479,834        5,823,972  

Alessandro Maselli

     156,236,378        644,543        477,784        5,823,972  

Donald E. Morel, Jr.

     156,462,652        415,984        480,069        5,823,972  

Stephanie Okey

     154,228,919        2,640,338        489,448        5,823,972  

Michelle R. Ryan

     156,437,051        431,220        490,434        5,823,972  

Jack Stahl

     156,235,444        643,619        479,642        5,823,972  

Proposal No. 2 - Ratification of Appointment of Independent Auditor

The Company’s shareholders ratified the appointment of Ernst & Young LLP as the Company’s independent auditor for fiscal 2024.

 

FOR

  

AGAINST

  

ABSTAIN

  

BROKER NON-VOTES

161,413,331    1,278,261    491,085    0

 


Proposal No. 3 – Advisory and Non-Binding Vote on Executive Compensation (Say-on-Pay)

The Company’s shareholders approved, in an advisory and non-binding vote, the compensation of the Company’s named executive officers as disclosed in the Proxy Statement.

 

FOR

  

AGAINST

  

ABSTAIN

  

BROKER NON-VOTES

152,656,995    4,216,702    485,008    5,823,972

Proposal No. 4 – Approval of Amendment No. 1 to the Catalent, Inc. 2018 Omnibus Incentive Plan

The Company’s shareholders approved the Plan Amendment.

 

FOR

  

AGAINST

  

ABSTAIN

  

BROKER NON-VOTES

154,438,910    2,433,582    486,213    5,823,972

 

Item 9.01

Financial Statements and Exhibits.

(d) Exhibits

 

Exhibit
No.

  

Description

10.1    Amendment No. 1 to Catalent, Inc. 2018 Omnibus Incentive Plan
104    The cover page from this Current Report on Form 8-K, formatted in Inline XBRL


SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

  Catalent, Inc.
  (Registrant)
By:  

/s/ JOSEPH FERRARO

  Joseph A. Ferraro
 

Senior Vice President,

General Counsel, Chief Compliance Officer & Secretary

  Date: January 26, 2024