0001596783-20-000185.txt : 20201009 0001596783-20-000185.hdr.sgml : 20201009 20201009152434 ACCESSION NUMBER: 0001596783-20-000185 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201007 FILED AS OF DATE: 20201009 DATE AS OF CHANGE: 20201009 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Arnold Jonathan CENTRAL INDEX KEY: 0001721336 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36587 FILM NUMBER: 201233102 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_160227145933929.xml FORM 4 X0306 4 2020-10-07 0 0001596783 Catalent, Inc. CTLT 0001721336 Arnold Jonathan C/O CATALENT, INC. 14 SCHOOLHOUSE ROAD SOMERSET NJ 08873 0 1 0 0 Pres. Oral & Specialty Deliv. Common Stock 2020-10-07 4 M 0 11845 20.50 A 50463 D Common Stock 2020-10-07 4 M 0 3680 31.96 A 54143 D Common Stock 2020-10-07 4 M 0 8560 24.44 A 62703 D Common Stock 2020-10-07 4 M 0 5877 36.02 A 68580 D Common Stock 2020-10-07 4 M 0 2078 42.23 A 70658 D Common Stock 2020-10-07 4 M 0 5144 43.88 A 75802 D Common Stock 2020-10-07 4 M 0 2158 54.94 A 77960 D Common Stock 2020-10-07 4 F 0 23414 91.50 D 54546 D Common Stock 2020-10-07 4 S 0 15928 91.50 D 38618 D Options to purchase Common Stock 20.5 2020-10-07 4 M 0 11845 0 D 2024-07-30 Common Stock 11845.0 0 D Options to purchase Common Stock 31.96 2020-10-07 4 M 0 3680 0 D 2025-08-27 Common Stock 3680.0 0 D Options to purchase Common Stock 24.44 2020-10-07 4 M 0 8560 0 D 2026-07-26 Common Stock 8560.0 0 D Options to purchase Common Stock 36.02 2020-10-07 4 M 0 5877 0 D 2027-07-24 Common Stock 5877.0 1962 D Options to purchase Common Stock 42.23 2020-10-07 4 M 0 2078 0 D 2027-10-04 Common Stock 2078.0 2081 D Options to purchase Common Stock 43.88 2020-10-07 4 M 0 5144 0 D 2028-07-23 Common Stock 5144.0 5145 D Options to purchase Common Stock 54.94 2020-10-07 4 M 0 2158 0 D 2029-07-22 Common Stock 2158.0 6476 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. Represents shares sold pursuant to the Rule 10b5-1 trading plan noted in footnote 1. 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. 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. 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. 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. 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. The options vest and become exercisable in four equal annual installments beginning on July 23, 2019. The options vest and become exercisable in four equal annual installments beginning on July 22, 2020. /s/ Jose Ibietatorremendia, attorney-in-fact 2020-10-09